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Job Summary
The Role: This role is responsible for: Monitoring, implementing and maintaining all compliance activities. Identifying, assessing and managing relevant risks. Developing, implementing, and maintaining the necessary risk and compliance frameworks. Provides guidance on exchange control practices and exchange control consulting to clients. Key Accountabilities: Compliance Monitor, guide and provide internal training on compliance matters related to: ❖ Financial Services Board and related legislation (e.g. FICA, FAIS, etc.), ❖ Protection of Personal Information (PoPI) Act. ❖ Any other relevant legislation associated with a compliance environment of a FSP. Identify and conduct internal investigations of compliance matters. Develop audit schedules, conduct, and report on outcomes of internal audits to ensure adherence to all compliance requirements. Develop and/or regularly review policies and procedures to ensure compliance requirements are accurate and up to date. Compile and file appropriate compliance reports to the regulatory agencies. Plan, schedule and provide compliance training. Collaborate with regulatory agencies when compliance reviews are conducted. Prepare monthly management reports regarding compliance operations and progress. Develop and implement corrective actions where compliance shortcomings were identified. Maintain and safe-keep all compliance-related documentation. Develop and implement improvements in communication, monitoring, or enforcement of compliance standards. Responsible for implementing and enforcing the organisations or business units'' compliance programs. Prepare compliance reports for the quarterly Audit & Risk Committee of the Board Risk Update and maintain the risk management framework. Continuous evaluation of internal and external business environments, identifying trends, statutory changes, opportunities and threats, and anticipate possible implications for the organisation. Evaluate, support, and oversee risk management activities. Plan and conduct monthly risk audits and report findings. Prepare monthly management reports regarding risk operations and progress. Monitor, assess and report the impact of any regulatory changes. Plan, schedule and provide risk training. Monitor the maintenance and update of Risk Registers across the business, conduct quarterly reviews, update as needed, and report outcomes. Monitor the development and implementation of necessary controls to mitigate identified risks. Review, analyse and monthly report incidents recorded on the Incident Registers. Execute daily medium (level 2) and high (level 1&2) risk ratings. Prepare risk reports for the quarterly Audit & Risk Committee of the Board. Additional Skills and Knowledge It is desirable that the candidate has proven expertise in both business and technical facets of the role including: A degree in commerce is recommended. Membership of the Compliance Institute of Southern Africa is recommended. Minimum 5 years of risk and compliance experience is required. Ability to influence change and to provide practical guidance on the implementation of new requirements/initiatives. Demonstrated ability to deliver well-written, succinct but comprehensive reports within agreed timeframes. Proven organisational skills, including the ability to prioritise work to ensure deadlines are consistently achieved. High degree of initiative and motivation. Demonstrated influencing and negotiation skills with a professional approach, and an ability to overcome resistance. Proven ability to implement and manage a customer-focused service delivery and performance management culture. An ability to work under pressure in a rapidly changing environment to deliver organisation targets. Demonstrated skills in stakeholder management and developing trusted relationships. Demonstrated ability to distil complex issues into succinct and easily understood language that conveys key messages successfully at all levels of the organisation. Communications skills, both verbal and written (English & Afrikaans) with excellent grammar and spelling. Demonstrated and applied knowledge of relevant regulatory and compliance frameworks. Salary Range: R567 788 - R900 000 Leave days: 21 Benefits for the permanent position: Group Life, Pension Fund, Medical Health Insurance Scheme
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