Senior Compliance Officer

4 hours ago

Sandton, South Africa Guardrisk Full time

**Introduction**
- The Senior Compliance Officer will be responsible for monitoring and reporting results of compliance of all licenses and with laws, good governance prescripts, the rules and regulations of regulators, that company policies and procedures are being followed and that there is a compliance culture within the Group.

**Disclaimer**
- As an applicant, please verify the legitimacy of this job advert on our company career page.

**Role Purpose**
- The Senior Compliance Officer will be responsible for monitoring and reporting results of compliance of all licenses and with laws, good governance prescripts, the rules and regulations of regulators, that company policies and procedures are being followed and that there is a compliance culture within the Group.

**Requirements**:

- BCom General / Law or LLB
- A Compliance Management Certificate from the Compliance Institute or equivalent
- At least 3 to 6 years insurance compliance experience of which 2 years with insurance compliance as area of specialisation
- Knowledge of legislative framework including Companies Act, Financial Sector Act, Financial Advisory and Intermediary Services Act, Short-term and/or Long-term insurance regulatory framework, National Credit Act, Conduct Standards for Third-Party Cell captives and other relevant legislation affecting the company
- Admission as attorney or advocate, knowledge and understanding of Financial Intelligence Centre Act, Public Finance Management Act, Financial Crime and exposure to operational risk will be an advantage
- Knowledge of compliance processes and principles within a compliance function

**Duties & Responsibilities**
- Maintain and review policies and procedures and any related activities to prevent and mitigate non - compliance with all applicable laws
- Review and propose amendments to compliance policies and standards
- Lead the implementation of process changes due to policy and regulatory amendments
- Manage a working relationship with a variety of stakeholders including Third parties, Regulatory Bodies, Industry Associations, and all areas of the business to direct compliance issues to appropriate existing channels for investigation and resolution
- Consulting with the legal and risk departments as required to resolve complex regulatory compliance issues
- Investigating and responding to alleged contravention of rules, regulations, policies, procedures, and codes of conduct
- Assist in identifying potential areas of non-compliance, threats, opportunities and risk
- Drafting guidance notes and recommend remedial actions to business, to avoid, mitigate future non-compliance
- Report breaches or potential non-compliance to the relevant governance forums and regulatory bodies
- Maintain an effective compliance communication and compliance training program for the organisation
- Must be able to drive and implement a data driven approaches within the control environment

**Competencies**
- Business Acumen
- Client/ Stakeholder Commitment
- Results and Solutions focused driven
- Leads Change and Innovation
- Collaboration
- Impact and Influence
- Networking
- Diversity and Inclusiveness

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