- Assists the compliance manager to identify, assess, advise on, monitor, report, and provide training on the compliance risk of the firm.
- Assists the compliance manager to monitor processes, practices, and documents to identify gaps.
- Assists the compliance manager to evaluate business activities to assess compliance risk.
- Assists the compliance manager to identify, investigate, and resolve all activities that are deemed non-compliant.
- Assists the compliance manager to train employees.
- Keeps abreast of local and international standards and regulatory advancements.
Assists the compliance manager in the following areas:
- Privacy and data protection (POPIA and GDPR).
- FICA
- B-BBEE
- Anti-corruption
- Client Compliance Fulfilment
- Assist in completion and drafting of Compliance Risk Management Plans.
- Perform compliance monitoring.
For Privacy and data protection specifically:
- Conduct monitoring to check compliance.
- Maintain records of all data processing activities of the company
- Conduct due diligence reviews.
- Onboarding customers
- Submitting reports to the FIC
- Provide training and awareness.
- Assist in the process of routinely updating the score monitoring application to provide a quarterly indicative scorecard.
- Assist with B-BBEE audits including, arranging, compiling evidence file and audit execution.
For Client Compliance Fulfilment specifically
- Complete the firm's responses to client questionnaires
- Secure appropriate responses to questions requiring specialist input as necessary
- Maintain a database of all client questionnaires including standard responses to routine questions
- Minimum of 1 years' work experience.
- knowledge of at least one of the areas of responsibility.
- Experience in interpreting regulatory requirements
- Ability to perform duties in a self-motivated and independent manner.
- Strong oral and interpersonal communication skills
- Outstanding writing and communication skills
- Ability to communicate complex issues in simple and user-friendly language
- Ability to balance the roles of trusted advisor and internal policing.
- Fluent in English
- Have a high attention to detail
- Ability to prioritise tasks in a high-pressure environment