Provide an independent monitoring service on regulatory risk compliance to ensure the business complies with key regulations and standards and minimise risks.
Cultivate and manage objective working relationships with a variety of stakeholders
Build and sustain collaborative working relationships with relevant peers and stakeholders in order to achieve productivity synergies.
Contribute to a culture of customer service excellence, which builds positive relationships and provides opportunities for feedback and exceptional service.
Comply with governance in terms of legislative and policy requirements.
Advise on and provide support to stakeholders in relation to the execution of the practice relevant legislation, frameworks, processes, and tools.
Providing expert input to committees on compliance-related matters to ensure informed decision making.
Provides an advisory service and consults with business in order to recommend controls and processes to ensure legislative compliance.
The development and implementation of compliance-related campaigns in order to create awareness of the importance of compliance as well as providing staff and business with knowledge and skills related to compliance.
Ensures that emerging legislation and the changes in relevant regulations are appropriately interpreted for impact analysis, internal monitoring plans, working papers, and practices are aligned accordingly tracked.
Ensure meaningful, timely, concise & comprehensive reporting of monitoring findings and associated regulatory risks to governance committees and relevant stakeholders.
Performing audit testing and completing documentation of planning, testing, and findings made in line with the Compliance methodology.
Ongoing monitoring of business compliance to the control frameworks, reporting, and escalation of incidents of non-compliance including follow-up on the implementation of agreed corrective measures.
Able to design and implement end-to-end monitoring reviews including scoping, drafting of working papers, conducting fieldwork, management engagement, and reporting.
Supporting the evidencing and embedding of the Regulatory Risk Management controls into business processes and platforms.
Facilitation of risk assessment and evaluation of the effectiveness of established controls
Appropriate review of policies and minimum operating standards for relevance, appropriateness, and effectiveness.
Plan and manage performance, skills development, succession and talent management, and culture of the team in order to improve performance and competence.
Continuously assess own performance, seek timely and clear feedback, and request training where appropriate and needed.
BComm / LLB or Advanced Diploma.
At least 3 5 years experience in a financial institution.
At least 3-year risk experience or related (e.g., Audit)