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Open nowFirst seen 4 days ago

Compliance Manager

Ithemba Recruitment- Sourcing Top Talent650 open roles

Where
Johannesburg, GP, South Africa
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Your applicationOpen nowCompliance ManagerIthemba Recruitment- Sourcing Top Talent · Johannesburg, GP, South Africa

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on Ithemba Recruitment- Sourcing Top Talent's own form.

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 57.8%60 days
This job: first seen 4 days ago

The posting

Purpose:

To develop, implement and oversee a FAIS supervision framework for SBIB, SIL, Voice Branch and Branch distribution which will ensure the execution against supervisory requirements in a way that delivers on client experience and the fair treatment of clients.

Duties and responsibilities:

People

  • Identify current and potential employee skill requirements in consultation with the People and Culture function.
  • Enable integrated ways of working and collaboration across the value chain to deliver for the client.
  • Inspire the team to deliver on the Group's shared purpose and instilling a culture which enables the Group to evolve into a client led platform organisation.
  • Provide input into talent strategy developed by People and Culture.
  • Create a culture of high performing employees across geographies and ensure employees remain in engaged in the work environment.
  • Ensure alignment to the People and Culture standards with regards to all employee-related matters.
  • Work together with People and Culture to identify skill gaps in the teams and provides opportunities for employees to upskill themselves.
  • Set the example and leads the team in line with the Groups leadership identity, core values and People Promise.

Client

  • Collaborate with Segments, Client Solutions and Corporate Functions at SA level to ensure that conduct requirements are executed on in a client friendly manner.
  • Ensure a first line of defence risk management framework is achieved which ensures client experience and profitability measures are met.

Financial Management

  • Monitor costs related to the utilisation of resources required (e.g., external service providers) to meet regulatory requirements.
  • Contribute to market share growth by providing input and driving this in a regulatory manner.

Data

  • Provide monthly reporting on execution against supervision requirements in order to keep business heads up to date with progress towards meeting regulations (e.g., GOVCO and RCC submissions).
  • Provide all MIS to relevant stakeholders to ensure oversight over the execution of supervision regulations are maintained by Key Individuals.

Risk, Regulatory, Prudential & Compliance

  • Develop and implement a supervision framework to ensure that representatives who are not fit and proper are supervised as outlined in regulations.
  • Ensure execution against supervision framework by allocated portfolio to ensure compliance with regulations.
  • Retain oversight of supervision activities to ensure proper execution and compliance with regulations
  • Ensure oversight against the execution of supervision activities performed by others (e.g. team leaders, managers, and external parties).
  • Manage the record keeping requirements and capturing of supervision activities in the Fit and Proper Management system.
  • Manage the implementation and effective tracking of supervision requirements and report on this to Heads, Key Individuals and the Head, Execution, Market Conduct.
  • Establish and implement a first line of defense function which will monitor adherence to supervision regulations and where breaches have been identified, remedial actions are put in place, executed on and monitored.
  • Act as the SME for FAIS supervision related matters at all forums.
  • Keep abreast of all conduct related regulations, e.g., such as FAIS that need to be adhered to and implements strategies to ensure adoption of the legislation across the value chain.
  • Interpret regulation (new and /or amendments) to operationalise it across the value chain by acting as integrator between specialists (e.g. Group Financial Sector Conduct Regulations) and business within the allocated portfolio.
  • Monitor adherence to all supervision related requirements and takes corrective action where breaches have been identified.
  • Contribute to the scoping of regulatory requirements and takes accountability for the end- to- end implementation and sustainability thereof.

Qualifications and experience:

  • Degree in Business/Commerce or related field
  • Regulatory Exam for REPS, Regulatory Exam for KI, relevant FAIS qualifications and relevant training for banking and insurance.
  • 5 -7 years experience with Consumer & High Net Worth clients
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