Compliance Monitoring Specialist - Sandton - EMEA3 Recruitment

    EMEA3 Recruitment
    EMEA3 Recruitment Sandton

    14 hours ago

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    Description

    Compliance Monitoring Specialist Overview

    About the Role

    The Compliance Monitoring Specialist will be working within the Compliance and Regulatory Affairs Department, ensuring business meets its regulatory obligations and mitigates compliance risks.

    Duties and Responsibilities

    • Develop a risk-based annual compliance monitoring plan for board approval, assessing key compliance risks across the organisation and subsidiaries.
    • Execute the board-approved compliance monitoring plan, performing complex monitoring reviews to deliver the required level of assurance within agreed timelines.
    • Implement the annual compliance monitoring plan by producing quality results, providing compliance advice and guidance to achieve regulatory compliance outcomes.
    • Develop and implement Compliance Risk Management Plans (CRMPs) and perform compliance monitoring reviews, including:

    (i) identifying and risk-rating applicable provisions;

    (ii) identifying, analysing, and testing controls;

    (iii) conducting thorough process, system, and business walkthroughs and applying best practice sampling mechanisms;

    (iv) identifying potential areas of compliance vulnerability and risk;

    (v) preparing and recording working papers; and

    (vi) presenting monitoring outcomes to business stakeholders.

    • Provide assurance to the board and relevant sub-committees on control adequacy and effectiveness, adherence to regulatory requirements.
    • Deliver high-quality compliance monitoring reports on identified risks and provide recommendations for sustainable remedial plans.
    • Communicate timely results of compliance monitoring reviews to SBUs/Departments and management, submitting monitoring reports to relevant stakeholders in line with CRAD monitoring requirements.
    • Manage issue logs/trackers, record-keeping of review documentation, and report issues raised during reviews for effective resolution.
    • Provide independent compliance advisory services through development of recommendations for control improvements, ensuring legislative requirements and regulatory risk mitigation.
    • Continuously develop and improve monitoring methodology and approach to conducting reviews, staying up-to-date with relevant trends and typologies.
    • Proactively engage with stakeholders at all levels, building collaborative relationships across the business to contribute effectively to review execution and enhance knowledge of business operations.

    Key Requirements

    • Bachelor's degree in a business-related discipline; LLB, B Com Law, BA Law, Risk Management.
    • Post-graduate Compliance Qualification mandatory, CPRAC Qualification from CISA an added advantage.
    • Minimum 5-8 years' experience in compliance monitoring or regulatory compliance risk management.
    • Member of the Compliance Institute of Southern Africa.

    Techncal/Funtional Competencies

    • Planning and organised approach to work, ensuring daily tasks are performed timely and adapting to short-term changes quickly.
    • Ability to interpret and apply legislation to varying business environments.
    • Strong analytical and problem-solving skills, ability to analyse data and interpret results.
    • Excellent communication and presentation skills.

    Behavioural Competencies

    • Highly detail-oriented and meticulous.
    • High level of integrity and ethical standards.
    • Professional, proactive, and independent thinker able to work and drive forward key activities under own initiative.
    • Ability to interpret complex regulatory requirements and operationalise them effectively.
    • Ability to work independently, as part of a team, and possess emotional intelligence.
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