Compliance Specialist

Job Description

The Compliance Specialist will be dedicated to overseeing the Business Conduct and Ethics Programme for the Segment.

Ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business and ensure conformance and adherence with regulations and delivers through a team of compliance resources/specialists.

Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards.
- Interpret regulation and legislation and assist business units with practical implementation thereof.
- Perform regular control monitoring and partner with key stakeholders in the design and implementation of company policies, frameworks and standards.
- Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.
- Deliver customer experience excellence in own service delivery aligned to organisational values and service standards.
- Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.
- Perform reporting of key risks, incidents and programmatic updates as it relates to the Commercial Business Conduct Programme.
- Ensure escalated items must be raised via the appropriate channels, and the necessary stakeholders must be appropriately engaged
- Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities
- Oversee, monitor and review business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.
- Ensure the development, alignment, mapping and implementation of end-to-end processes applicable to the Business Conduct Programme.- Research, enable and consult on improvements and opportunities to harness technology and platform enablement.- Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.- Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.- Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions applicable to the Ethics Programme.- Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.- Compiling monitoring reports on the results of monitoring.- Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.- Research and communicate applicable legislative developments to all stakeholders.- Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.- Provide targeted training on regulatory requirements to channels and product houses.- Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.- Ensure implementation of relevant policies, governance and practice standards across the business.- Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.- Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit and changes- Develops an understanding of risks and risk management approaches.- Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.- Develop, encourage and nurture collaborative relationships across area of specialisation.- Display and encourage an appreciation of teamwork and inclusivity.
- Participate in planned activities that are appropriate for own development.

Post

FNB

LI-BL1

Job Details

30/09/25