Compliance Manager

SUMMARY:
Compliance risk manager

POSITION INFO:

Our client in the financial / tech sector is looking for your passion on compliance and experience to join the team .

Qualification and Experience

• Legal, Risk or Compliance related degree or equivalent.
• CISA membership would be advantageous.
• 3-5+ Years experience in a Compliance environment and/ or managing/ leading a Compliance team preferably in the Financial Services sector (Banking, Fintech).
• Previous FICA or AML Compliance Officer experience required.

Key Responsibilities

• Ensure compliance with the NCA, FAIS, FICA, POPIA and any other applicable legislation.
• Roll-out and monitor the implementation of the Risk Management and Compliance
• (RMCP) program and provide input into the same as part of the enhancement process.
• Ensure efficient and effective running of the daily compliance operational activities.
• Assist in communicating key aspects of the compliance policies and frameworks to business stakeholders.
• Take ownership for the compilation and review of compliance policies and procedures.
• Monitor and execute on the outputs of the compliance dashboards.
• Review new/ existing processes and products to identify and mitigate compliance risk and sign-off on the same.
• Be proactive and monitor changes to the regulatory landscape and provide the necessary compliance advice and guidance to business partners.
• Assist in the design, development and delivery of compliance awareness and training interventions.
• Efficiently attend to requests from our sponsoring bank and build good relationships with your corresponding counterparts.
• Ensure that the fraud and ethics hotline queries are followed up on timeously and receive sufficient resolution.
• Assist to produce/ contribute to the Compliance quarterly board reporting
• Ensure that any outstanding compliance allocated internal audit actions are closed within deadline;
• Assist with the annual SOX process - perform and review control adequacy and effectiveness testing, compile written reports on findings, and liaise with and report to Senior Managemen

Key Stakeholders:

• Senior and executive management
• Audit Committee
• The organisation''''''''''''''''s sponsoring bank
• Regulatory /Industry Bodies viz. the NCR, FIC, FSCA, BASA and other relevant regulators

Attributes Required

• Can operate both at a strategic and operational level.
• Proactive individual who is a self-starter and gets things done.
• An individual who takes a pragmatic approach to Compliance and is business-minded.
• Has the ability to work well with people and collaborate to develop practical solutions to compliance related problems.
• Possesses good stakeholder management ability and can develop relationships across senior and junior management levels.
• Good written and verbal communication skills.
• Passionate about compliance.