Compliance Monitoring Specialist (Wealth & Investment)

Spane4All; Johannesburg; On-site; ZAR 400,000 - 600,000; Full time

Job summary

A leading company is seeking an experienced Compliance Monitoring Specialist in Johannesburg. The specialist will be responsible for ensuring operations meet regulatory obligations, conducting compliance reviews, and utilizing data analytics. Candidates should have a Bachelor's Degree and proven experience in compliance and risk management.

Qualifications

• 3-5 years experience in Risk Management, Compliance, or Regulatory roles.
• Experience leading compliance reviews and reporting to senior stakeholders.
• Knowledge of relevant acts like the Collective Investment Schemes Control Act advantageous.

Responsibilities

• Conduct compliance reviews and produce high-quality reports.
• Build relationships with stakeholders and utilize data analytics.
• Identify scope and testing approach for regulatory engagements.

Skills

Risk Management

Compliance

Data Analytics

Stakeholder Management

Project Management

Education

Bachelor's Degree in Legal, Compliance, or Auditing

Postgraduate Diploma in Compliance, Risk Management, or related field

Job description

Compliance Monitoring Specialist (Wealth & Investment)

Location: Johannesburg

Type: Full time

Posted: Yesterday

Application Deadline: June 27, (1 day left to apply)

Job Requisition ID: R

Job Description

To develop and implement audit processes for conducting quality assurance of all deliverables, contributing to the implementation of a group compliance monitoring methodology in accordance with relevant regulations, applicable codes of conduct, and best business practices.

About FNB

Welcome to FNB, the home of the #changeables. We design for shapeshifters and deliver products and services that make us proud of our people. Join a diverse, curious environment where experts come together to ignite change.

Role Overview

We are seeking an experienced Compliance Monitoring Specialist to ensure our operations meet regulatory and governance obligations. Your responsibilities will include conducting planned compliance reviews, producing high-quality reports, building relationships with stakeholders, and using data analytics for continuous monitoring.

Key Responsibilities

1. Conduct compliance reviews in line with the approved coverage plan and procedures.
2. Identify scope and testing approach for regulatory engagements.
3. Build and execute test procedures for key controls.
4. Draft reports with findings, root cause analysis, risks, and action plans.
5. Collaborate with business owners to address risks.
6. Utilize data analytics during testing to improve efficiency.

Candidate Requirements

• Bachelor's Degree in Legal, Compliance, or Auditing.
• Postgraduate Diploma in Compliance, Risk Management, or related field.
• 3-5 years of experience in Risk Management, Compliance, or Regulatory roles within investments.
• Experience leading compliance reviews and reporting to senior stakeholders.
• Knowledge of relevant acts (e.g., Collective Investment Schemes Control Act, Financial Markets Act) is advantageous.

Opportunities & Skills Development

Engage with stakeholders, develop skills, and innovate using data analytics. We value project management, stakeholder management, communication, curiosity, mastery, observation, resilience, decisiveness, and collaboration.

Application Details

Apply before the deadline. All appointments align with FirstRand Group's Employment Equity plan. We support the recruitment of individuals with disabilities. Candidates may disclose disability information voluntarily.

Additional Information

Introduce yourself to our recruiters via MyQ. For queries, log them through MyQ.

About FCC

The FirstRand Corporate Centre (FCC) houses critical functions such as risk, compliance, governance, internal audit, treasury, finance, and tax, providing a broad perspective across the group.