Job Title: Regional Compliance Officer
Expire: 2012-04-27
REGI0007
Regional Compliance Officer
Cape Town
Purpose:
To manage and mitigate compliance risk and ensure adherence to legislative requirements through raising awareness, monitoring, implementing processes and reporting.
Key Outputs:
Identify compliance and legislative requirements, recommend policies, processes and procedure changes
Identify the compliance requirements which are relevant to the Region. Liaise with resources, make sure ROA’s are up to standard and contains all required information.
Facilitate implementation and compliance
Liaise with Head Office to implement interventions, new systems and new requirements
Monitoring of compliance and risk
Collate all issues and perform audit of compliance and risk through ad hoc monitoring. Increase Business Unit’s awareness of concerns and problems. Report on issues.
Report compliance and risk for Region
Report status of compliance and risk in the business to Risk and Compliance Manager. Follow up where necessary.
Management of risk
Coach all Financial Planners and other staff in the Region in order to create awareness on compliance, risk and corporate governance and to ensure compliance.
Set operational standards for Region
Develop, get agreement and implement processes, policies and authority levels.
Competencies:
Behavioural competencies
Initiative
Commitment
Verbal Communication
Written Communication
Building Relationships
Team work
Influencing
Problem Solving
Attention to Detail
Analytical Thinking
Qualifications:
Essential Qualifications: Legal Degree and Admitted Attorney
Preferred Qualifications: Certificate in Financial Planning
Job Related Experience: Debt Collection Experience
HR Contact Person:
Mpho Kubelo
Kindly ensure that you complete an online application. Queries relating to this position can be referred to the person above. Do not send your application to them directly as it will NOT be considered.
To Apply:
https://www.jonti.co.za/?clbrnd=NEDB0001
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