Compliance Manager Sandton

Excellent Opportunity for a Highly Experienced COMPLIANCE MANAGER - MONITORING

Education and Experience

• Relevant tertiary education
• 6 years’ experience in large corporate environment in management, including staff management, implementation and maintenance of processes and procedures.
• Demonstrated success leading change initiatives.

Duties & Responsibilities

Compliance Risk Monitoring

• Contribute and review annual compliance monitoring plan for the Group Compliance Management Committee.
• Present the monitoring plan to relevant stakeholders in various business units.
• Execute the monitoring plan approved by the governing body, evaluating control activities to ensure compliance with obligations.
• Continuously contribute to the Group Compliance monitoring methodology, framework, reporting templates, and supporting standard operating procedures.
• Keep abreast of regulatory developments and changes in the financial services industry.

Reporting

• Review and secure approval of all compliance monitoring reports.
• Attend to annual monitoring plan close-off reporting.
• Provide input into monthly reports to various Financial Services Providers (FSPs) within the Group.

Management of Monitoring Officers

• Provide guidance and advice on day-to-day tasks to fulfill execution of monitoring plan.
• Manage and oversee all employee-related activities and matters.
• Draft job specifications and review personal and skills development plans.
• Conduct regular performance management reviews.

Operational

• Review business activities to determine compliance with applicable regulatory requirements.
• Compile appropriate engagement letters and present them to senior management prior to monitoring activities.
• Draft and produce finalized working papers and evidence for all components of work as per standards set in the Compliance Methodology.
• Ensure working papers are appropriate and include supporting evidence/documents.
• Agree on detailed findings with management and provide recommendations for management actions.
• Present monitoring outcomes and recommendations to senior management.
• Obtain and review management comments and action plans related to compliance incidents.
• Prepare follow-up progress reports.

Desired Experience & Qualifications

Personal Attributes and Skills

• Experience and skills to manage a professional team.
• Detailed knowledge of South African legislation and regulations.
• Problem-solving skills and conflict management in a constructive manner.
• Ability to make rational judgments and provide consistent advice.
• Strong communication, reporting, and presentation skills.
• Ability to work as a team and raise concerns confidently.
• Strong research ability and attention to detail.
• Strong listening, organizational, and communication skills.
• Strong leadership and teamwork qualities.
• Foster a positive work environment that promotes employee satisfaction and retention.
• Experience working in or with short- or long-term insurance companies is beneficial.
• Develop an effective network with business representatives.
• Ability to write and review compliance reports and draft compliance guidance notes.
• Able to work well under pressure and manage time efficiently.

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