Risk and Compliance Manager, BEE, SANDTON

JOB TITLE: Risk and Compliance Manager,
BEE, SANDTON

REPORTS TO: CFO

CTC: Market related

THE ROLE

The Risk and Compliance Manager is responsible for development, implementation,management and monitoring of the Fund and its underlying investments from a compliance and risk policies perspective.

The Risk and Compliance Manager will proactively identify gaps and issues in terms of risk and compliance and recommend mitigation and risk management measures. The role will proactively seek to add value to the Fund beyond the risk and mitigation aspects, and contribute to the long-term developmental

impact and sustainability of the Fund.

KEY ACCOUNTABILITIES

Statutory compliance and internal controls

·Implement and monitor policies and procedures.

·Ensure compliance with relevant legislation, regulations and governance practice and

oversee the implementation of the prescripts of the statutory laws across the group.

·Supports the CFO in developing and managing the Risk Management Framework and Policy and

Risk Register.

·Supports the CFO in ensuring the integration and embedding of Risk Management practices

by working closely with all Divisions.

·Manages statutory filings with the CIPC.

·Manages Know Your Customer (KYC) processes within the Company.

·Manages risk and compliance requirements of Investors (including ESG).

·Manages and ensures timeous reporting of risk, compliance and ESG to the Audit and Risk

Committee, Social and Ethics Committee, Credit Committee, Board and Investors.

·Implements initiatives to enhance the control environment and to facilitate compliance

management systems.

·Maintain compliance and risk internal control safeguards and co-ordinates all audit

activities by liaising with auditors.

Responsible for all risk and compliance reporting, including reports and dash boards as

required by the Fund for its Limited Partners and stakeholders.

Key Performance Indicators

·    Approved Policies, effective management of Company compliance

·    Efficient risk management (including monitoring of risk mitigation action items)

· 
   Timely filings

·    Efficient

KYC process

·    Accurate and timely reporting to EXCO and Investors.

· 
  Streamlined processes

Empowerment Compliance

·Responsible for management of ongoing empowerment verification
by relevant verification agencies
in terms of the firm and controlling shareholder

·Ongoing measurement and mitigation of empowerment obligations as it relates to

platforms and project portfolio.

·Supporting of the business and Investment Team in terms of empowerment compliance in terms

of existing projects, new proposals and bids as they arise.

Developing good relationships with broad based stakeholders required in terms of

information flow required in terms of the empowerment verification processes.

Key Performance Indicators

·
Proactive measurement of obligations and identifying risk of non-co
mpliance

with obligations.

·Timeous finalisation of BEE verifications

Minimis
e legal and compliance risk from a business perspective 

Compliance and governance

· Support the governance processes at the Fund and portfolio company level.

Represents the Company on Portfolio Company Boards.

Key Performance Indicators

· Minimise legal and compliance risk from a business perspective

Adherence to best practices.

Stakeholder relationships

·      Manage relationships with statutory authorities

·      Manage outsourced secretarial and ESG work

·      Manage external auditors

·      Good relationships and positive feedback

·      Accurate and timely reporting to EXCO and Investors.

Added advantage:

Knowledge of FAIS and fund related regulatory requirements

Industries: Financial Services, Renewable Energy

KEY RELATIONSHIPS

·
Internal

CEO, CFO, CIO, Head of Legal, Finance Manager.

·
External
Auditors , Bankers , Insurers, Investors, Suppliers , Service Providers, Legal Advisors,

statutory authorities (eg. CIPC, FSCA).

·Empowerment Verification Agencies

Broad Based Shareholder Groupings.

Qualifications
Relevant 3 year Degree

Experience
5 years in a compliance role, reporting and evaluation of environmental and social regulations, implementation and monitoring of policies/risk management.

Empowerment compliance reporting, understanding of the relevant BBBEE legislation.

COMPETENCIES (not limited to)

Knowledge and Skills:

•Commercial law

•Environmental law

•Empowerment law

•Best practices

•Analytical

•Business acumen

Interested and meet the criteria?

Please email your CV to

T R A F A L G A R    R E C R U I T M E N T