Compliance Officer

Duties/Pligte

The compliance officer reports to and provides general support to the Deputy Registrar: Governance Function Support.

The compliance function, duties and responsibilities are to expand on the existing compliance programme and structure, through the following functions:
**Compliance governance and awareness**:
Assisting the Registrar and the Deputy Registrar in overseeing internal compliance control systems and their effective implementation, identifying weaknesses, inconsistencies and

recommended improvements, and enhancements to enable efficiency of operations and optimisation of compliance-related resources;Compiling a risk-based compliance programme for final sign-off by the Audit and Risk Committee;- Compiling and maintaining a compliance policy which includes, inter alia, a risk-based approach to compliance;- Directing the development or implementation of compliance-related policies and procedures throughout the organisation;- Disseminating written policies and procedures related to compliance activities;- Serving as a confidential point of contact for employees to communicate with management, seeking clarification on issues or dilemmas, or reporting irregularities;- Collaborating with Human Resources to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations;- Determining and implementing / overseeing the implementation of compliance awareness initiatives.

**Compliance risk identification and measurement**:
Keeping informed regarding pending industry and other relevant changes, trends, and best practices, and assessing the potential impact of these changes on organisational processes;- Consulting with the Deputy Registrar and internal legal advisors as necessary to address complex legal compliance issues;- Discussing emerging compliance issues with management or employees;- Identifying compliance requirements applicable to the various faculties, departments and functions within SU;- Compiling a compliance risk profile in consultation with other relevant internal stakeholders.

**Compliance risk management plans (CRMP's)**:- Evaluating adequacy and effectiveness of controls;- Identifying and agreeing on action plans to improve controls as needed.

**Monitoring**:
Evaluating testing procedures to meet the specifications of compliance monitoring programmes;- Conducting periodic internal reviews or audits to ensure that compliance procedures are followed;- Conducting or directing the internal investigation of compliance issues;- Identifying compliance issues that require follow-up or investigation;- Identifying software technology to adequately provide oversight and monitoring in all required areas;- Monitoring compliance systems to ensure their effectiveness;- Maintaining records or documentation of compliance activities, such as complaints received or investigation outcomes.

**Reporting and record-keeping**:
Preparing management reports regarding compliance operations, institutionalisation and progress;- Reporting violations of compliance or regulatory standards to duly authorised enforcement agencies as appropriate or required;- Overseeing internal reporting and record-keeping systems such as a SU compliance hotline and informing employees about these systems;- Filing appropriate compliance reports with regulatory agencies.

**Advice, communication and training**:
Providing employee training on compliance related topics, policies, or procedures;- Advising internal management or business partners on the implementation or operation of compliance programmes;- Designing or implementing improvements in communication, monitoring, or enforcement of compliance standards;- Advising technical professionals on the development or use of environmental compliance or reporting tools;- Verifying that all regulatory policies and procedures have been documented, implemented, and communicated.

**Combined assurance**:
Identifying assurance providers and jointly planning to prevent duplication or gaps;- Providing assistance to internal or external auditors in compliance reviews.

Job Requirements/Pos Vereistes- A relevant bachelor's degree (business management, law, finance, audit, accounting, risk management, business administration), or the equivalent of an NQF 7 qualification;- At least five years' experience in a compliance or internal audit environment;- Knowledge and implementation of the Generally Accepted Compliance Practice Framework (GACP), King Codes; directives and relevant findings of the South African Courts and Regulators;- Excellent interpersonal skills and a proven ability to build strategic relationships and partnerships, as well as the ability to work with internal stakeholders and/or external service providers;- A high level of written and verbal communication skills;- Detail orientated with excellent judgement, critical thinking, decision-making and problem-solving skills;- Proven organising, planning, prioritising, administra