Manager Compliance And Ethics

Trans-Caledon Tunnel Authority; Gauteng; On-site; ZAR 600,000 - 900,000; Full time

Job summary

Trans-Caledon Tunnel Authority seeks a senior Compliance Lead to design and oversee the organisation's compliance and ethics program. You will drive governance, monitor legal changes, and liaise with Exco and the Board to ensure policy and process integrity.

The role emphasizes managing compliance risk, policy reviews, and ethics training, with accountability for staff and budget while maintaining high standards of conduct across the organisation.

Qualifications

• Experience in compliance risk management and regulatory adherence.
• Ability to develop and implement compliance policies and programs.
• Strong governance, ethics and integrity mindset.
• Stakeholder management with internal and external parties.

Responsibilities

• Design and implement programs to assess and manage legal and regulatory compliance risks.
• Manage Compliance Framework periodic reviews and implementation.
• Manage Compliance Policy periodic reviews and implementation.
• FICA Policy maintenance and review periodically.
• FICA- Risk Management Compliance Programme management and implementation.
• Compliance Program design and implementation annually.
• Loan covenants monitoring.
• Regulatory Compliance Monitoring.
• Monitoring of legislative changes and organisational awareness.
• Management and updating of the Compliance Universe.
• FICA Monitoring and reporting
• Compliance Risk Management Plans
• Regulatory interaction management
• Internal and external stakeholder management and support for all compliance and ethics matters.
• Independently monitoring and reporting to top management on the effectiveness of the compliance function.
• Provide advice to management and the Board as required in adherence to compliance functions imposed by legislation and governance principle.
• Produce periodic reports to Exco and the Board
• Develop and implement ethics policies and procedures.
• Conduct regular training programs on ethical standards and practices.
• Monitor compliance with ethical standards and internal policies.
• Investigate ethical violations and recommend corrective actions.
• Advise management on ethical issues.
• Manage Code of Business Conduct periodic reviews and monitoring.
• Manage Conflict-of-Interest Policy periodic reviews and implementation.
• Management and monitoring of an Ethics helpline/hotline function.
• Develop an Ethics data gathering and reporting process
• Establish and implement an Ethics communication strategy
• Manage Conflict of Interests.
• Manage gift declarations and gift register.
• Prepare reports on ethical matters EXCO and Board.
• Promote a culture of ethical behavior across the organization.
• Maintain up-to-date knowledge of industry trends related to ethics.
• Law monitors drafting and communicating to the divisions.
• TCTA newsletter articles drafting and publication to TCTA Times or Staff Announcements.
• Staff Announcement updates for any compliance matters for the attention of the organization.
• Compliance and Ethics reports preparation.
• Compliance advisory memorandums preparation for internal clients.
• Ethics hotline reports assessment and processing of reports.
• Confidential information management.
• Monitor adherence to privacy and data policies.
• Full Management of the personnel within the compliance function. (Assistant Compliance Officer and Compliance Intern).
• Manage performance of staff.
• Manage discipline for transgressions.
• Responsible for administrative duties for managing the function.
• Manage the compliance function budget efficiently.

Job description

Purpose of the job:

• Ensures that TCTA complies with its outside regulatory requirements and internal polices and processes.
• Ensures that TCTA complies with loan covenant obligations for all the funding arrangements with the funders.
• Responsible for compliance risk management process and ensuring that all the processes are properly documented, applied and updated appropriately.
• Provide compliance support to the Chief Risk Officer who is responsible for regulatory compliance within TCTA.
• Identify and monitor legislation that impacts TCTA and ensuring compliance with it.
• Supervise compliance function incumbents and conduct performance reviews.

1. Manage the process for designing and implementation of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organisation.

• Manage Compliance Framework periodic reviews and implementation.
• Manage Compliance Policy periodic reviews and implementation.
• FICA Policy maintenance and review periodically.
• FICA- Risk Management Compliance Programme management and implementation.
• Compliance Program design and implementation annually.
• Loan covenants monitoring.
• Regulatory Compliance Monitoring.
• Monitoring of legislative changes and organisational awareness.
• Management and updating of the Compliance Universe.
• FICA Monitoring and reporting
• Compliance Risk Management Plans
• Regulatory interaction management
• Internal and external stakeholder management and support for all compliance and ethics matters.
• Independently monitoring and reporting to top management on the effectiveness of the compliance function.
• Provide advice to management and the Board as required in adherence to compliance functions imposed by legislation and governance principle.
• Produce periodic reports to Exco and the Board

2. Manage, oversee and promote the organization's ethics and compliance function.

• Develop and implement ethics policies and procedures.
• Conduct regular training programs on ethical standards and practices.
• Monitor compliance with ethical standards and internal policies.
• Investigate ethical violations and recommend corrective actions.
• Advise management on ethical issues.
• Manage Code of Business Conduct periodic reviews and monitoring.
• Manage Conflict-of-Interest Policy periodic reviews and implementation.
• Management and monitoring of an Ethics helpline/hotline function.
• Develop an Ethics data gathering and reporting process
• Establish and implement an Ethics communication strategy
• Manage Conflict of Interests.
• Manage gift declarations and gift register.
• Prepare reports on ethical matters EXCO and Board.
• Promote a culture of ethical behavior across the organization.
• Maintain up-to-date knowledge of industry trends related to ethics.

4. Communicates the organization's ethical standards, policies, and regulations. In addition, conducts compliance monitoring, investigations, and remediations of any non-compliant actions.

• Law monitors drafting and communicating to the divisions.
• TCTA newsletter articles drafting and publication to TCTA Times or Staff Announcements.
• Staff Announcement updates for any compliance matters for the attention of the organization.
• Compliance and Ethics reports preparation.
• Compliance advisory memorandums preparation for internal clients.

5. Manages the administration of confidential reporting systems or helplines for employees, service providers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation.

• Ethics hotline reports assessment and processing of reports.
• Confidential information management.
• Monitor adherence to privacy and data policies.

6. Manages subordinate staff in the day-to-day performance of their jobs. Has full authority for compliance personnel actions.

• Full Management of the personnel within the compliance function. (Assistant Compliance Officer and Compliance Intern).
• Manage performance of staff.
• Manage discipline for transgressions.
• Responsible for administrative duties for managing the function.

7. Ensures that compliance function goals are met and adhering to approved budgets.

• Manage the compliance function budget efficiently.