Senior Compliance Manager

Recruiter:

Kencorp

Job Ref:

Snr Comp Mgr

Date posted:

Friday, September 9, 2022

Location:

Johannesburg, South Africa

Salary:

Neg

JOB SUMMARY:
Senior Compliance Manager - Banking

JOB DESCRIPTION:

Responsibilities

Drafting, Adoption and Implementation of the Regulatory Universe annually
Drafting, Adoption and Implementation of the Monitoring Plan annually
Compiling and Reporting to various Regulators as required, timeously such as CRS (Annual), NCR (Form 39, Form 40, AFS, Annual Compliance Report, BBB-EE), FSCA
(FAIS Rep Register, Annual Compliance Report, AFS, Online Reporting), HLAMDA (Quarterly Report, Annual Report), CIPC
Drafting and obtaining Sign off EXCO Compliance Report –Quarterly
Reporting to Head Office Internal Control, Legal and Compliance department as and when required
Assisting the Chief Compliance Officer with various general compliance related matters
Management of General Compliance Related Head Office documents with implementation or drafting applicable requirements
Updating and Maintaining Regulatory Register
• Conducting training on various legislation, regulations or supervisory body
requirements as and when required
Conduct compliance monitoring, obtain sign off of Final Report and ensuring timeous remediation of identified findings, updating Compliance Findings Schedule
Drafting, Adoption and Implementation of various policy and procedure
Providing guidance/advise/recommendations/suggestions to business departments on various general compliance related matters
Reviewing and providing guidance on various documents, agreements and other to business departments
Conducting research on various legal and general compliance matters
Creating awareness on various legal and compliance matters
Liaising with various regulators such as PA, FSCA, SARB, SARS (CRS), NCR, etc.
Attending external regulatory and industry meetings such as BASA, SARB, PA, PASA, FSCA, FSTC, IBA, etc.
Conduct various Gap Analysis on various legislation, regulations and supervisory body requirements as well as implementation thereof
Members of various internal committees
Collation of SARB/ Prudential Authority requests and submission thereof timeously
Attend to various regulator/ supervisory body surveys, questionnaires
Obtaining recognition of Qualifications, Representatives or Key Individuals from FSCA
Maintaining FAIS License by attending to various matters
Assisting with maintenance of ODP License
Providing information to various regulators/ supervisory bodies for requests or other information required
Assisting with Company Secretarial matters such as addition/removal of directors
Updating of COR 39, Annual Report & CM49, liaising Head Office Company Secretary
Ensure all fees are paid timeously to various regulators
Lead or Assist with Compliance Related Projects as and when required

Requirements

Bachelor''s degree in Finance or Law
Member of the Compliance Institute of South Africa
Licensed Compliance Officer accreditation with the FSCA
5 years’ experience in regulatory compliance role working in a bank
RE1/ RE 5 certified
Experience in a FAIS environment is necessary
Only SA Citizens will be considered

NB! This job is now closed. You can apply for other jobs by uploading your CV.

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