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A leading financial services firm in Johannesburg seeks a Compliance Officer to enhance compliance culture and ensure governance standards are met. The ideal candidate has 5-8 years in a senior compliance role, holds relevant diplomas, and is versed in governance and regulatory knowledge. This role offers an opportunity to contribute to a culture of transformation and personal growth.
•Advise business on best practice for compliance by ensuring the business is educated on the compliance culture and by creating awareness around compliance implication of daily duties.
•Support the central function by assisting in developing of policies, procedures, frameworks and tools with specific focus on relevant risk legislation, for the benefit of the larger organisation.
•Define governance frameworks and ensure good governance practice.
•Ensure business committees operate according to required business governance standards through regular engagement.
•Assess committees adherence to the governance requirements.
•Ensure compliance standards are met and risks are mitigated.
•Identify, define and agree on the regulatory universe applicable for each relevant Business Unit, mitigating risks.
•Conduct compliance risk and control assessments (CRA's).
•Mitigate risk and applicability to business.
•Ensure that compliance risk is adequately addressed.
•Test whether the business control is effective and adequate and ensure that business policies contain the right content addressing legislative requirements.
•Advise business of changes and identify potential impact of these changes on the business.
•Influence the enhancement of business processes and methodologies.
•Prevent compliance breaches and reputational risk from occurring, which could result in financial penalties.
•Ensure awareness of business compliance status.
•Promote and facilitate cross Cluster engagement, manage and improve business efficiencies.
•Engage with stakeholders on findings of compliance risk and control assessments.
•Enable management to make informed decisions and prevent compliance breeches.
•Ensure that stakeholder relationships are effectively managed.
•Obtain buy-in for developing new and/or enhanced processes that will improve the functioning of stakeholders' businesses.
•Stay abreast of developments in field of expertise, ensuring personal and professional growth.
•Understand and embrace the Nedbank vision and values, leading by example.
•Ensure upskilling and effective handover to relevant responsible person.
•Manage performance through training, development and addressing poor performance via HR channels.
•Educate self-regarding business, through engagement, meetings, procedures and policy awareness.
•Contribute to a culture of transformation by participating in Nedbank culture building initiatives, business strategy, and CSI.
LLB
Post Graduate Diploma in Compliance Risk Management
Compliance Institute of South Africa (CISA)
5-8 years in a senior compliance/risk/governance role within the Financial Services industry
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Please contact the Nedbank Recruiting Team at +27 860 555 566
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Nedbank Ltd Reg No 1951/000009/06.
Authorised financial services and registered credit provider (NCRCP16).
For assistance please contact the Nedbank Recruiting Team at +27 860 555 566