Compliance Specialist

SUMMARY:
Risk and Compliance

POSITION INFO:

The Compliance Specialist will have to assure compliance with regulatory requirements, to manage risk associated with non-compliance.

Contribute to the efficient and effective functioning of Compliance Function
• Assist manager to ensure that compliance function is in compliance with law and industry and regulatory body requirements
• Promote prevention of legal and regulatory risk in the company (TCF)
• Maintain efficient and effective operations in Compliance
• Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)
• Oversee the debarment processes are being adhered to within the Group
Attend to regulatory and client complaints (TCF)
• Assist with investigation of regulatory and clients complaints (Ombudsman cases)
Responsible for Compliance Monitoring and Reporting
• Monitor compliance risk, policies and procedures at Head Office and branches of Group
• Complete monitoring reports for Head of Compliance
• Provide overall compliance assistance, guidance and advice to the Group of Companies
• Contribute to the development of compliance risk management plans
• Contribute to the completion of compliance reporting (internal and regulatory)
Provide Training and Awareness on Compliance Matters

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