Senior Consultant: Regulatory Compliance

6 months ago

Johannesburg, South Africa Old Mutual Full time

Description

The role (permanent) is best suited to a candidate that has extensive skill and experience in compliance risk management practices and processes. The role requires an individual who has a keen interest in adopting an Innovative approach to compliance risk management.

Someone who is passionate about being a trusted partner to the organisation and has a willingness to learn and support the organisation in the delivery of its strategic objectives.

This role reports to the Head of Compliance

KEY RESULT AREAS

The successful incumbent will:

Register as FAIS CO with the FSCA Develops, implements and oversees the regulatory compliance risk management strategies of the bank.  Assists in the establishment of an effective compliance function, framework and core processes for the bank. Pro-actively identifies, assesses, reports and mitigates compliance risks across the bank. Enforces and upholds the banks compliance standards.  Participates in activities that drive a strong culture of compliance and internal control. Manages compliance monitoring which includes personal account dealing, gifts and entertainment, conflicts of interest and political donations. Produces reports for senior management on compliance monitoring findings. Excellent report writing and consolidation skills in respect of key internal to Bank committees and key Board committees, from a Regulatory compliance point of view. Initiates the development of key compliance policies and standard operating procedures. Ensures that these policies and procedures are consistent with the approvals of various Boards.  Identifies and assists with training and educational needs regarding compliance practices and make recommendations and assists with the development of training content with respect to legislative training.  Ensures compliance with industry regulatory standards.  Implements core Compliance principles, frameworks, processes, systems and platforms. Implements the Compliance risk management framework, reviews the Regulatory Universe to identify key legislation impacting the bank and implementation of the compliance risk management plans and control gap analysis. Has an ability to advise on the establishment of effective compliance frameworks, structures and core processes and the establishment and embedment of the same in relation to the core systems and platforms of the proposed banking business. Assists with regulator and audit reviews and oversees compliance actions. Assists with regulatory change and commentary processes. Assists with the compilation of compliance reports for management and relevant bank committees, assists with regulator and audit reviews and oversees compliance actions, assists with regulatory change and commentary processes in the bank. Direct exposure to and a keen interest in competitive compliance practices is strongly recommended as a key output for this role.

ROLE REQUIREMENTS

5-10 years in a similar role in the Financial/Regulatory/Banking sector A relevant Bachelors degree that includes Legal, Compliance, Governance, Commerce and/or a senior compliance qualification. (BCOM; BCOM LAW) Monitoring experience CPRAC is recommended but not a pre-requisite Approved FAIS compliance officer with the FSCA. Understands the core principles of an effective compliance function.

Behavioural Attributes

Senior experience in the Legal and/or Compliance environment within banking. Have an understanding of and an ability to implement compliance and governance requirements. Have an understanding of the legislative and regulatory requirements impacting the South African banking sector. Have detailed knowledge of the legislative and regulatory environment and reporting requirements imposed by South African regulators (SARB, FSCA, PA and NCR) specifically in relation to the Banks Act, FAIS, NCA. Highly organised and methodical with close attention to detail. Word, Excel and Powerpoint skills. Excellent report writing skills. Monitoring experience. Attention to Detail.

Skills

Education

Closing Date

03 June 2024

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