Compliance and Risk Monitor

Conova Recruitment; Cape Town; On-site; ZAR 600 000 - 800 000; Full time

Job summary

An investment firm in Cape Town seeks a Compliance and Risk Monitor. You will execute compliance monitoring plans, assess adherence to regulations, and engage with stakeholders. The ideal candidate has at least 3 years of relevant experience and a degree in Law or a related field. Strong analytical and communication skills are essential for this role.

Qualifications

• Minimum 3 years' experience in compliance, risk, or audit within corporate South African financial services.
• Ability to work independently and maintain objectivity and independence.
• Effective communication and stakeholder engagement skills.

Responsibilities

• Execute risk-based compliance monitoring plans.
• Conduct regular monitoring of processes and controls.
• Identify and report instances of non-compliance.

Skills

Analytical skills

Investigative skills

Report writing

Attention to detail

Communication skills

Education

Bachelor’s degree in Law, Risk Management, Compliance, or related field

Tools

Compliance monitoring tools

Job description

SUMMARY :

Our client, an Investment Firm in Cape Town, is seeking a Compliance and Risk Monitor to join their team.

The purpose of the role is to support the organisation’s governance function by conducting ongoing monitoring activities to evidence adherence to applicable compliance obligations, including statutory, regulatory, supervisory, and voluntary requirements.

POSITION INFO :

Key Responsibilities :

• Execute risk-based compliance monitoring plans aligned with the organisation’s compliance coverage plan.
• Conduct regular monitoring of processes and controls to assess compliance with internal policies and external obligations.
• Identify and report instances of non-compliance, compliance exposures, and non-conformance.
• Prepare and present monitoring reports
• Support the development and maintenance of compliance risk profiles and compliance risk management plans (CRMPs).
• Evaluate the effectiveness of compliance controls and recommend improvements.
• Assist in identifying and assessing compliance risks, including inherent and residual risks, and contribute to the organisation’s compliance risk response strategies.
• Collaborate with line management and other assurance providers to ensure a combined assurance approach.
• Engage with compliance role players and stakeholders to communicate monitoring outcomes and support remediation efforts.
• Stay abreast of changes in the compliance universe and regulatory landscape.
• Monitor the external context (e.g., legal, political, economic) for emerging compliance risks and obligations.

Requirements :

• Bachelor’s degree in Law, Risk Management, Compliance, or related field.
• Minimum 3 years’ experience in compliance, risk, or audit within the corporate South African financial services, corporate sector.
• Strong analytical and investigative skills.
• Excellent report writing and presentation abilities.
• High attention to detail and organisational skills.
• Ability to work independently and maintain objectivity and independence.
• Effective communication and stakeholder engagement skills.
• Proficiency in compliance monitoring tools and systems.