Compliance Manager | Sandton

The Compliance Manager is responsible for assisting the Head: Compliance with the
compliance landscape of Investments. This includes supporting the Head: Compliance in
the execution of compliance management strategies, plans and programmes.
The following key outputs form part of this role:
• Assisting the Head: Compliance to develop and implement internal controls, processes
and procedures to mitigate risks and ensure compliance with legislation.
• Planning and implementing various assurance reviews (testing and monitoring) in line
with business priorities and aligned to the Group combined assurance plans.
• Managing regulatory compliance submissions and reporting that is required by AML,
POPIA, CISCA and Insurance Act.
• Providing advice to the business on compliance related matters.
The role is part of the First Line Compliance team for the Consulting platform.

•LLB degree or a similar qualification
• The relevant postgraduate qualification in compliance would
be advantageous.
• FAIS Regulatory Examination 1 (RE1) and 3 (RE3).
• 3-5 years related experience (compliance management, risk,
auditing, governance and assurance).
• Understanding of the financial services and Investments
(CISCA & Insurance) industry essential.

• Strong computer literacy, with key systems used are Excel,
MS Word, PowerPoint.
• Good communication skills both written and verbal.
• Strong skills on presenting information in a useful manner to
business leaders.
• Attention to detail and meticulous follow up.
• Stakeholder service orientation and stakeholder focus
(internal and external).
• Commercial acumen and understanding of business
functions.
• Strong analytical skills and ability to interpret data.
• Ability to manage in a dynamic and ambiguous environment.
• Strong emotional intelligence and ability to work under
pressure.
• Willingness to learn and progress.
• Create a culture of risk awareness and healthy compliance
orientation.

• Leading the organisation:
- Managing change.
- Solving problems and making decisions.
- Managing politics and influencing others.
- Enhancing business skills and knowledge
- Understanding and navigating the organisation.
• Leading the self:
- Demonstrating ethics and integrity.
- Displaying drive and purpose.
- Self-management.
- Increasing self-awareness.
- Developing adaptability.
• Working with others:
- Communicating effectively.
- Valuing diversity and difference.
• Building and maintaining relationships.
• In collaboration with Group Compliance:
- Draft, approve and implement compliance management plans and programmes.

- Ensure correct and effective escalation of potential
threats and weaknesses in the compliance framework
to the relevant stakeholders.
- Identify early warning signals of breach/incidents etc
and correct and effective escalation thereof.
- Report general compliance breaches in line with
approved framework.
- Ongoing design and refinement of compliance
management methodologies, tools and reporting
capabilities.