Compliance Officer

Overview:

Analysing Statutory requirements and Providing Advice to
1. Determine all relevant laws and regulations pertaining to the activities of the Group
2. Develop/review risk management plans in accordance with best industry compliance practice
3. Regularly engage with and advise Line Management and compliance champions of the requirements in order to determine the necessary controls and ensure update or amendment of operational procedures
4. Analyse and advise on adequacy of controls to Line Management and compliance champions
5. Interpret, advise and consult with various business functions on issues in respect of legislative requirements
6. Consult widely with regulatory bodies and industry on interpretation and application of laws and regulations as and when requested by the Group Compliance Officer

Monitoring and Reporting on adherence to Statutory
1. Determine and advise the level of Compliance within each assigned business unit and entity within the Group
2. Develop a monitoring action plan based on identified areas of risk and as per routine required
as well as from receipt and analysis of findings from Internal Audit
3. Prepare reports on same within timeframes
4. Advise Line Management and compliance champions of deficiencies and recommend corrective action
5. Maintain an issues log of deficiencies and monitor the implementation of corrective action
6. Report instances of non adherence to the Group Compliance Officer
7. Prepare the necessary Compliance reports for submission to the various regulators and the
Executive and other committees within the Group as requested by the Group Compliance Officer

Compliance to Statutory and Regulatory and other Requirements
1. Draft and maintain compliance policies and manuals for approval by the Board as requested by the Group Compliance Officer
2. Ensure that standard policy and process documents are in place in the various business units
and that these are regularly reviewed and updated including aligned to the Treating customers Fairly and Ethics regimes
3. Creating awareness of legislative requirements and ensuring that staff are aware of and
competent in all aspects of Compliance, inter alia through; Conducting presentations, Issuing
compliance alerts, Publishing documentation on the intranet & Drafting communication and advice for internal use
4. Advise Training Department of required training interventions in respect of new or amended laws and regulations, prepare training material as required and monitor educational outcomes
5. Prepare information for the Group Compliance Officer for presentation at various levels within the organisation including to the Board, Executive and Divisional Management on developments in the regulatory environment

Minimum Education
· LLB

While we would really like to respond to every application, should you not be contacted for this position within 7 working days please consider your application unsuccessful.