Compliance Manager
1 month ago
Description
FirstRand believes that its people are its single most important resource and will not operate in a sector unless it has people who are right for that market and who share FirstRand’s business values. We recruit self-starters who have a passion for what they do. We empower them, hold them accountable and reward them appropriately. We value diversity in our people, particularly for the way that this contributes to innovative thinking.We are looking for a Compliance Manager who will ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Deliver against operational and cost targets Prioritise resource allocation to minimise and reduce wastage Monitor costs for the financial year according to the operational plan Allocats and approvs expenditure Review cost reports and resolves or explains variances to the budget Identify, control and escalate potential risks that may lead to increased costs Manage costs or expenses within approved budget to achieve cost efficiencies Provide input into the budgeting process and monitor utilisation for the financial year according to the operational plan Produce or review budget reports to make sure they accurately reflect work activity Ensure financial documentation is maintained to support accurate record keeping and future legislative requirements Escalate potential budget risks that may lead to increased costs or financial losses Present work proposals on planned activities that will require financial resources Allocate and approves expenditure Collate, analyse and evaluate data and information to forecast expenditure and cash flow trends and make recommendations to improve budget Deliver customer experience excellence aligned to Organisational values and service standards Build professional long-term relationships with customers based on trust that builds the brand Collect and interrogate information and feedback to ensure full understanding of customer needs to deliver a quality service Deliver service that exceeds customer expectations through proactive, innovative and appropriate solution selection and application Provide customers with relevant information to keep them informed of products and service options identification of improvement opportunities Implement, monitor and control 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 aligned to the customer journey map 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 Monitor customer feedback reports and align processes to maximise efficiencies 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/legislative universe for responsible business units Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof Compiling monitoring reports on the results of monitoring Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof 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 training on regulatory requirements to channels 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 findigns 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 Educates others and makes suggestions for improvements Networks and participates in specialist risk forums where required Provide input into the development of the business area tactical strategy in achievement of the overall business trategy Develop and implement an area operational plan in achievement of Business objectives Responsible for implementing and enforcing the organisation's or business units' compliance program Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.
Job Details
Application Closing Date
04/06/24All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.
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