Compliance Officer
Johannesburg, Gauteng, ZA
2d ago
source : Latest Jobs

The successful candidate will be expected to perform on, but not be limited to the following key outputs :

  • Review of the compliance risk management control environment across the business;
  • Assist management with identification and evaluation of compliance exposures / regulatory breaches
  • Providing guidance to Key Individuals and Representatives to ensure compliance with legislation;
  • Assist in monitoring compliance with applicable legislation and internal requirements;
  • Identifies and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes.
  • Support the sales managers in exercising their responsibility for oversight of compliance within their teams;
  • Remain up to date with Compliance trends, recommends and implements changes to internal company processes as required;
  • Execute all other functions related to the compliance mandate as delegated by the Compliance Manager
  • Personal attributes and skills

    Operational :

  • Review business activities to determine compliance with applicable regulatory requirements
  • Reporting
  • Draft and produce finalised monitoring working papers and evidence for all components of work, as per standards set in the Compliance Methodology
  • Ensure that working papers are appropriate and include supporting evidence / documents
  • Agree detailed findings with management, and provide appropriate recommendations for management actions
  • Preparation of follow-up progress reports
  • Competencies :

  • Strong focus on service excellence
  • Strong relationship collaboration
  • Takes initiative
  • Process and task driven
  • Attention to detail
  • Team Player
  • Behavior in alignment to the Discovery Core values
  • Uses discretion when dealing with confidential correspondence / information at all times
  • Manages time effectively
  • Works in a systematic, methodical and orderly way, within strict SLAs
  • Works productively in a pressurized environment
  • Qualification & Experience

    Essential :

  • Relevant tertiary qualification
  • 3 years compliance monitoring experience in the financial services industry
  • FAIS and LTI and STI experience
  • RE 1 and 5
  • Call centre compliance experience
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