Compliance Manager

Location: Johannesburg, South Africa
Salary: Neg
Recruiter: Moving Heads Personnel CC
Job Ref: Comp Man
Summary: Compliance Manager



Job Description

Compliance Manager

Sandton, Johannesburg


  • Identify regulatory requirements for operational compliance as a financial institution
  • Communicate regulatory compliance requirements (awareness / education / training etc) to the business unit, Individual Life (IL)
  • Plan 1st line compliance audits for the business unit, which includes FAIS audits at branches as well as operational audits for back office support
  • Compliance consulting / advice to business unit / implementation support
  • Design and implement policies and procedures / manuals to ensure compliance in the business unit
  • Provide assistance to line management with its responsibility to comply with applicable statutory, regulatory and supervisory arrangements
  • Appropriately escalate and manage compliance related issues within the business unit, which includes IL Exco or to 2nd line compliance
  • Compile Compliance regulatory universe for IL in light of SDM compliance regulatory universe
  • Provide compliance support in the development of products and sign-off from a 1st line perspective
  • Support IL departments by collecting and coordinating internal compliance data with auditors and various departments
  • Drive all compliance projects from an IL perspective  
  • Provide support to IL business in respect of compliance with customer due diligence provisions (as set out in FICA Amendment Act)
  • Attend to general compliance matters within IL business
  • Reporting

Qualification, Skills and Experience Required

  • Legal degree or Diploma
  • Admitted Attorney or Advocate would be advantageous
  • Meeting the competence and experience requirements to be registered as a Compliance Officer with the FSCA
  • Successfully written the Regulatory Exams (RE-1 or RE-5)
  • A completed compliance qualification would be a distinct advantage
  • At least 5 years relevant experience, preferably within the financial services / insurance sector
  • At least 3 years Management experience in the insurance industry
  • Knowledge of and experience in legislation relevant to the organisation (e.g. FAIS, Long Term Insurance Act, Retail Distribution Review, New Insurance Act, 2017, FSR Act, POPI, FICA, Long-term insurance Regulations & Policyholder Protection Rules, 2017)
  • Compliance and legal projects management
  • Compliance advice and training
  • Documentation reviews
  • Compliance monitoring and reporting
  • Risk Management


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