Compliance Officer, Finance & Banking

Position: Compliance Officer-(12 Months Contract)

A client is seeking a reliable and experienced Compliance officer to join their team. Successful candidate will be individually responsible for ensuring adherence to relevant laws and regulations specific to their operations.

Compliance Programme Development

• Develop a comprehensive compliance workplan / implementation plan detailing key activities, deliverables, timelines and responsibilities for the implementation of companys compliance programme.
• Provide strategic advice to ensure alignment of the compliance programme with organisational objectives, risk appetite and governance requirements.

Regulatory Mapping and Universe

• Conduct a detailed review of the regulatory environment and prepare a regulatory universe identifying and categorising all applicable laws, regulations and governance requirements relevant to companys operations.
• Continuously update the regulatory universe to reflect new, amended or repealed legislative requirements.
• Advise management in respect of impact of any impending changes to laws and regulations and appropriate responses thereto.

Policies and Procedures Review

• Review and update company policies and procedures to ensure compliance with applicable laws, regulations and best practice standards.
• Recommend improvements and provide guidance on policy and procedure implementation.
• Monitor the review of policies and procedures in line with the review cycle and pro‑actively inform of upcoming reviews and report on outstanding reviews.

Regulatory Monitoring, Advisory and Guidance

• Monitor legislative and regulatory developments affecting the company and provide regular compliance updates summarising key changes and their implications.
• Provide compliance advisory reports and guidance notes to management and governance structures on matters related to regulatory obligations, risk mitigation and compliance best practices.

Compliance Risk Management

• Develop compliance risk management plans to identify, assess, mitigate and monitor compliance risks across the companys operations.
• Provide tools and frameworks for ongoing risk management and risk reporting.

Compliance Monitoring and Reporting

• Design and implement compliance monitoring plans to track adherence to policies, procedures and regulatory requirements.
• Conduct compliance reviews and prepare reports highlighting findings, recommendations and progress on corrective actions.
• Review any compliance related reviews undertaken by the company personnel.
• Prepare and present compliance reports to governance structures including the Risk Management Steering Committee, Executive Committee, Audit and Risk Committee and the Board.

Quality Assessment and Continuous Improvement

• Conduct quality assessment reviews to evaluate the effectiveness of the companys compliance processes and systems.
• Provide recommendations for enhancing the compliance programme and promoting continuous improvement.

Training and Awareness

• Develop and deliver compliance training and awareness sessions for management and staff to build internal capability and foster a culture of compliance.
• Provide supporting training materials and guidance documents to reinforce learning.

Ad Hoc Compliance Support

• Provide ad hoc compliance‑related support as required by the company to address emerging needs or issues.

Requirements

• Experience: 10 years or more of experience providing compliance-related services and advisory support.
• Qualifications: NQF 9, NQF 10 or CPRA/CPRO 5, NQF 8.

Key Skills

• Compliance Management
• Risk Management
• Financial Services
• PCI
• Banking
• Cost Accounting Standards
• Quality Systems
• Research Experience
• NIST Standards
• Securities Law
• SOX
• ISO 27000

Employment Details

• Employment Type:
  
  Full Time
• Vacancy: 1

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