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    Head - Compliance - Johannesburg, South Africa - Amicorp BPO

    Amicorp BPO
    Amicorp BPO Johannesburg, South Africa

    1 day ago

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    Description
    The role holder will be responsible for directly managing and leading the Group's Compliance teams based in central offices (India, Mauritius) as well as the Local Compliance Officers (LCO's) and Anti- Money Laundering Officers (MLROs) of all business lines and jurisdictions. The role holder will ensure that the whole Compliance function operates as one team with the aim to efficiently and effectively identify, assess, monitor, and make timely and measured judgments on all current and potential future risks faced by the team. The role holder must understand or capable of quickly mastering, the business, the strategy, processes, products, and services provided to clients by Amicorp Group. Furthermore, the role holder will be responsible for assessing any quality and efficiency gaps in the current compliance processes – mainly but not limited to client onboarding, ongoing monitoring, and transaction monitoring – and propose and implement improvement programs, thereby optimally utilizing technology, people, and processes. The role holder will report to the Chief Risk Officer (CRO).

    Main Responsibilities

  • Lead and direct the central compliance teams in India and Mauritius, supporting growth aspirations of the company while retaining and improving the appropriate risk management and efficiency discipline to achieve strategic goals. Maintain direct oversight of the central Compliance Management operations and performance.
  • Manage the agenda, priorities and performance and maintain strong working relationships with LCO's and MLRO's in the business lines and jurisdictions.
  • Ensure the central teams and the LCO's and MLRO's act and cooperate as one team. Continuously optimize division of work across the whole function.
  • Take ownership in assessing efficiency gaps and white spot risks in the current compliance processes and initiate and lead the implementation of strategic, technology driven improvement projects. Thereby optimally utilizing the latest smart technology, people, and processes, with the aim to outperform our peers in efficiency and quality with regards to client onboarding, ongoing monitoring/review, and transaction monitoring. Work in this respect closely with the Head of IT, Chief Operating Officer, and Chief Risk Officer.
  • Ensure a proactive approach is taken to the identification of risks – including evaluating the risks associated with new business / deals and their impact on company strategy, risk appetite and regulatory and compliance impact, as well as the right communication to the business.
  • Ensure ongoing compliance and risk reviews are conducted in time, with right quality, and escalate material issues, emerging risks, and proposed solutions to the Chief Risk Officer.
  • Be responsible for the overall management of the Transaction Monitoring program and ongoing review of the Compliance Policies and Procedures to alleviate risk and ensure compliance with the changing regulatory landscape.
  • Develop and ensure execution of Compliance Monitoring plans in the central teams and instruct/promote/manage LCO's to conduct the same where regulatory required.
  • Guide the Local Management Team (LMT) of offices in the formulation and maintenance of risk appetite, tolerances, and limits, having regard to the strategy and business plans and the risk/return profile of the business. Provide expert guidance, support, oversight, and independent challenge.
  • Monitoring regulatory developments and assessing their relevance to the business. - - Work alongside the Chief Risk Officer to implement high-level strategic compliance initiatives to coordinate the approach to regulatory changes.
  • Promoting an appropriate Compliance and Risk culture across the organization through clear strategy, communications, and engagement with the Sales Officers (SOs), Senior Account Managers (SAM) and LMT.
  • Work in conjunction with CRO/ ERM to develop and deliver compliance training initiatives to embed the risk management culture throughout the business.
  • Ensure that Amicorp' s KYC, Anti-money laundering, Countering Terrorist Financing (AML/CFT) and Anti-bribery and Corruption systems and on-boarding controls are adequate.
  • Function as the main point of contact with Regulators, when necessary. Anticipate and centrally coordinate compliance-related audits or inspections.
    • Process and Controls
  • Primary responsible for the operational effectiveness and efficiency of all compliance processes, controls, policies, procedures, and checks with any breaches escalated appropriately.
  • Create Technology strategy to re-design and improve analytics to monitor and manage risk, collaborate with IT to develop new tools that provide meaningful data and risk metrics.
  • Ensure that the new business and service/ products are in line with the risk appetite of the Group set and appraise the Board on adequate measures to be taken to address and mitigate risks.
  • Adhere to change management procedures in order toto ensure efficient implementations and minimal client impact.
  • Ensure compliance with statutory authorities and audit requirements.
  • Ensure contingency plans are in place for all services to include business recovery plans.
  • Maximize utilization of resources and drive cost control measures across operations.
  • Build relationships with peers on Commercial, Client Services and Control functions to instill a culture of accountability with internal stakeholders and external regulators.
    • Personal and Team Targets
  • Lead by example by driving a solution focused compliance culture, balancing commercial interests with effective compliance risk management.
  • Monitor teams' productivity and performance. Solve issues arising from delivery and timeliness relating to compliance. Drive team revenue by providing commercial leadership with respect to all client (chargeable) activities to achieve performance targets.
  • Esure the Compliance Officers record time accurately on a weekly basis on the tasks performed by them.
  • Build and maintain strategic business relationship with business and clients; guide the team to build relationships and ensure timely and quality delivery.
    • Profitability Performance and Growth
  • Ensure team profitability and performance aligned with the business plan. Continuous review of risk framework to ensure compliance policies, procedures and agreements are consistently met.
  • Discuss employee/ team performance reports with the manager on a regular basis and take corrective actions for improvement.
  • Actively promote and enable employees to continuously develop themselves.
  • Finalize objectives for employees, continuously evaluate performance and take corrective actions to deal with under-performance together with Group Human Resources.
    • Other Duties
  • Undertake the role of manager, director, company secretary, MLRO and Compliance Officer of client entities, as well as internal entities of Amicorp Group, where necessary and required by the Management.
  • Undertake such other duties, related to the position, as may from time to time be agreed with Management.

    • Qualifications, skills, and experience

  • Relevant Bachelor's Degree or higher in Business, Finance, Information Technology, or another related field combined with ongoing professional development, such as post-graduate or vocational study in compliance and/or risk.
  • In depth knowledge with over 15 years' experience and leadership of global best practice compliance frameworks, methodologies, compliance IT solutions and emerging practice in relation to the business and operating in a regulated environment.
  • Ideal candidate would have experience with other Corporate Service Providers and/or Fintech organisations with exposure to compliance management and related (large scale) technology solutions implementation.
  • Excellent leadership, organizational, interpersonal and communication skills. Successful team management experience including performance management and employee development.
  • Commercial drive and a proven ability to penetrate the required market. Takes initiative, positive and proactive, dedicated, focused and revenue and target driven.
  • Excellent client facing skills. Well-developed spoken and written communication skills and the ability to tailor style to relevant audiences, and successfully liaise with people at various levels.
  • Excellent English language fluency, additional languages preferred.
  • Strong analytical and critical thinking, problem solving skills, solution driven, highly organized and detailorientated with good decision making and time management skills.
  • Independent, hands-on and takes accountability to deliver solutions and results.
  • Ability to adapt and work in a smaller, dynamic local team environment; along with being part of a bigger matrix organization. Proven leadership and team player skills, with ambition to excel in the role.
  • Demonstrated knowledge and understanding of operational efficiency issues and quality management and control matters.
  • Willingness to travel as required.
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