129 Compliance Auditor jobs in South Africa

Senior Regulatory Compliance Manager

A position has become available for a Senior Regulatory Compliance Manager based in Durban.

Job Purpose

Provide advice, guidance, recommendations on the adherence of regulatory compliance practices in client facing divisions ensuring compliance regulatory risks are identified, assessed, and reported on for the Group.

Job Responsibilities

1. Identify and manage all Regulatory requirements of the Group.
2. Manage the completion of all commentary and/or impact assessments requests from various Regulatory Bodies including the Prudential Authority, Financial Intelligence Centre, National Credit Regulator, and Information Regulator.
3. Provide expert guidance and recommendations to ensure adherence to multiple laws and regulations regulating the affairs of the Group.
4. Demonstrate in-depth understanding of key legislation such as the NCA, FAIS Act, POPIA, FIC, and other applicable laws (including subordinate legislation) that impact the Group.
5. Conduct compliance regulatory training, keeping Compliance and all internal stakeholders (1st line) informed and updated on regulatory changes and policy requirements.
6. Build and maintain trusted relationships with internal stakeholders by establishing effective partnerships to identify and manage compliance regulatory risks.
7. Develop and maintain a clear understanding of the scope and nature of the business conducted by 1st line (business acumen).
8. Develop a solid understanding of all high-risk legislation that applies to the Group.
9. Keep abreast of all regulatory developments/changes that may potentially impact the Group and engage with all relevant stakeholders on a timely basis to ensure business readiness and ongoing compliance risk management.
10. Contribute to the creation of a compliance culture and compliance awareness in the division by becoming a trusted advisor.
11. Execute on all Regulatory Compliance projects (end-to-end) within set timelines.
12. Provide advice, guidance, and recommendations on whether regulatory compliance requirements are met.
13. Ensure accurate and timely reporting on any non-compliance, the management of compliance risks, and the state of compliance in the division.
14. Provide advice, guidance, and recommendations to stakeholders on the state of regulatory compliance by reporting on how key risks are being managed, highlighting areas that require immediate attention, and recommending corrective action to stakeholders.
15. Present potential compliance regulatory findings to stakeholders through formal engagement. Take an active part in all Regulatory Compliance governance.
16. Assist in filing regulatory reports to the respective regulators, keeping the Group in good standing with regulatory bodies.

Qualifications:

• LLB Degree
• Admitted Attorney
• Member of the Compliance Institute of SA
• RE5 Accredited: Advantageous
• 5-7 years’ experience in a regulatory compliance position, 3 of which must have been in a managerial role - preferably in financial services.

Salary market related for a senior position.

#J-18808-Ljbffr

Job Description

Responsibilities:

1. Identify and manage all Regulatory requirements of the Group, including mortgage providers and insurance companies offering credit life and homeowners.
2. Manage the completion of all commentary and/or impact assessments requested from various Regulatory Bodies including the Prudential Authority, Financial Intelligence Centre, National Credit Regulator, and Information Regulator.
3. Provide expert guidance and recommendations to ensure adherence to multiple laws and regulations regulating the affairs of the Group.
4. Demonstrate an in-depth understanding of key legislations such as the NCA, FAIS Act, POPIA, FIC, and other applicable laws (including subordinate legislation) that impact the Group.
5. Conduct compliance regulatory training, keeping Compliance and all internal stakeholders (1st line) informed and updated on regulatory changes and policy requirements.
6. Build and maintain trusted relationships with internal stakeholders (i.e., the Division’s 1st line as well as 2nd line functions) by establishing effective partnerships to identify and manage compliance regulatory risks.
7. Develop and maintain a clear understanding of the scope and nature of the business conducted by 1st line (business acumen).
8. Develop a solid understanding of all high-risk legislation that applies to the Group.
9. Keep abreast of all regulatory developments/changes that may potentially impact the Group and engage with all relevant stakeholders on a timely basis to ensure business readiness and ongoing compliance risk management.
10. Contribute to the creation of a compliance culture and compliance awareness in the division by becoming a trusted advisor to 1st line (whilst maintaining independence of mind as part of 2nd line).
11. Execute on all Regulatory Compliance projects (end-to-end) within set timelines.
12. Provide advice, guidance, and recommendations to 1st and 2nd line on whether regulatory compliance requirements are met.
13. Ensure accurate and timely reporting on any non-compliance, the management of compliance risks, and the state of compliance in the division (1st line).
14. Provide advice, guidance, and recommendations to stakeholders on the state of regulatory compliance by reporting on how key risks are being managed, highlighting areas that require immediate attention, and recommending corrective action to stakeholders.
15. Present potential compliance regulatory findings to stakeholders through formal engagement. Take an active part in all Regulatory Compliance governance.
16. Assist in filing regulatory reports to the respective regulators, keeping the Group in good standing with regulatory bodies.

Candidate Requirements

- LLB Degree

- Admitted Attorney

- Member of the Compliance Institute of SA

- RE5

How to Apply

Please forward your CV to . Should you not be contacted within 2 weeks, kindly consider your application unsuccessful.

#J-18808-Ljbffr

Senior Manager Regulatory Compliance

Location: Durban

Well-established financial services client is looking for a Senior Regulatory Compliance Manager with 5 years in a similar position.

Salary: Negotiable based on experience and qualifications

Minimum Requirements:

1. LLB Degree
2. Admitted Attorney
3. Member of the Compliance Institute of SA
4. RE5 Accredited: Advantageous
5. 5 years’ experience in a regulatory compliance position
6. 3 years managerial experience
7. Must come from the financial services industry

Full job description will be discussed in the interview process.

Please apply online.

FROGG Recruitment

We offer:

• Medical Aid Contribution
• Provident Fund Contribution

#J-18808-Ljbffr

Overview

Make an impact with NTT DATA
Join a company that is pushing the boundaries of what is possible. We are renowned for our technical excellence and leading innovations, and for making a difference to our clients and society. Our workplace embraces diversity and inclusion – it’s a place where you can grow, belong and thrive.

Your day at NTT DATA

The Associate Regulatory Compliance Analyst is an entry level role, responsible for playing a support role in the organization's efforts to comply with various international and/or regional laws, regulations, and industry standards relevant to the IT sector.

This role provides valuable assistance to the broader regulatory compliance team and gains practical experience in regulatory compliance activities.

This role supports with research and monitoring activities and assists in the development and implementation of regulatory compliance policies, procedures and processes.

An Associate Regulatory Compliance Analyst is instrumental in assisting the company with adhering to regulatory requirements and industry standards, ensuring that it operates within the bounds of applicable laws and regulations while minimizing legal risks and promoting ethical conduct.

This role works under the supervision of a manager or more experienced team member.

Key responsibilities

• Conducts research on global and regional laws, regulations, and industry standards affecting the IT industry.


• Stays updated on regulatory changes and their potential impact on the company.


• Assists in the preparation and maintenance of compliance documentation and reports for internal and external stakeholders (may include regulatory filings, audit reports, and compliance records).


• Supports compliance monitoring activities by assisting in tracking compliance initiatives, conducting basic internal audits, and ensuring documentation is up to date.


• Assists in the review and updating of compliance policies, procedures, and guidelines to ensure alignment with legal and regulatory requirements.


• Maintains accurate records and databases related to compliance activities, including compliance training records and incident logs.


• Participates in compliance training programs to develop an understanding of compliance standards, regulations, and best practices.


• Contributes to the identification of potential compliance risks and vulnerabilities.


• Assists in the development of mitigation plans to cover potential risks and vulnerabilities.


• Assists in reviewing contracts, agreements, and partnerships for compliance with legal and regulatory obligations, focusing on basic contract terms.

Qualifications

• Familiarity with legal and regulatory frameworks relevant to the IT industry, including data protection laws, export controls, and industry-specific regulations.


• Analytical skills to interpret and apply complex legal and regulatory requirements.


• Effective written and verbal communication skills to convey compliance information to team members and stakeholders.


• Attention to detail to ensure accurate documentation and adherence to compliance standards.


• Ability to collaborate effectively with cross-functional teams and stakeholders.


• Aptitude for identifying compliance challenges and proposing potential solutions.


• Possesses high ethical standards and integrity, with a commitment to promoting a culture of compliance and ethics.


• Has data analysis skills to assist in compliance monitoring and reporting.


• Ability to work independently or as part of a team.


• Has organizational and time management skills, together with effective planning and problem-solving skills.

Academic qualifications and certifications

• Bachelor's degree or equivalent in law, business, compliance, or a related field.


• Relevant certifications in compliance, such as Certified Compliance and Ethics Professional (CCEP), Certified Information Systems Security Professional (CISSP), or Certified Regulatory Compliance Manager (CRCM).

Required experience

• Entry level of knowledge of relevant laws and regulations, including data protection laws, antitrust regulations, export controls, and industry-specific regulations.


• Entry level of experience in compliance, legal, or regulatory roles within the IT industry or a related field.


• Entry level of experience with compliance auditing, reporting, and documentation.


• Entry level of experience working within a global matrixed organization, preferably within the IT services industry.

Workplace type: Hybrid

About NTT DATA

NTT DATA is a $30+ billion trusted global innovator of business and technology services. We serve 75% of the Fortune Global 100 and are committed to helping clients innovate, optimize and transform for long-term success. We invest over $3.6 billion each year in R&D to help organizations and society move confidently and sustainably into the digital future. As a Global Top Employer, we have diverse experts in more than 50 countries and a robust partner ecosystem of established and start-up companies. Our services include business and technology consulting, data and artificial intelligence, industry solutions, as well as the development, implementation and management of applications, infrastructure, and connectivity. We are also one of the leading providers of digital and AI infrastructure in the world. NTT DATA is part of NTT Group and headquartered in Tokyo.

Equal Opportunity Employer

NTT DATA is proud to be an Equal Opportunity Employer with a global culture that embraces diversity. We are committed to providing an environment free of unfair discrimination and harassment. We do not discriminate based on age, race, colour, gender, sexual orientation, religion, nationality, disability, pregnancy, marital status, veteran status, or any other protected category. Join our growing global team and accelerate your career with us. Apply today.

#J-18808-Ljbffr

Are you a seasoned Compliance Officer looking for your next challenge?

Ourclient is seeking a dedicated and experienced Compliance Officer to join their team. This role is perfect for a professional who is passionate about delivering high-quality compliance and risk management services to financial services clients.

Key Responsibilities:

• Deliver outsourced compliance services to independent Financial Services Providers (FSPs) and corporate clients.
• Fulfil compliance duties required by legislation such as FAIS, FICA, POPI, the Companies Act, Medical Schemes Act, and the Insurance Act.
• Help clients achieve Treating Customers Fairly (TCF) outcomes.
• Establish and maintain a culture of compliance by providing a compliance risk framework to clients.
• Provide high-quality, personalised, and substantive reports to clients, ensuring all functions meet deadlines and standards set by the Regional Manager.
• Contribute positively to the regional team and the company’s development and well-being.
• Source and onboard new clients.

Qualifications & Experience:

• A minimum of 3 years of proven experience in compliance or risk management within the financial services industry.
• Must be a registered and approved Compliance Officer with the FSCA (FSB) for at least Category I.
• Hold a recognised Legal or Accounting degree, or another qualification from the FSCA’s list of approved qualifications for Compliance Officers.
• Must have a strong working knowledge of compliance legislation, including FICA and FAIS, with POPI knowledge being an advantage.
• Possess an understanding of risk management principles.

Skills & Competencies:

• Exceptional verbal and written communication skills.
• Ability to work independently and as part of a team, even under pressure.
• Proficient presentation skills.

#J-18808-Ljbffr

**Make an impact with NTT DATA**
Join a company that is pushing the boundaries of what is possible. We are renowned for our technical excellence and leading innovations, and for making a difference to our clients and society. Our workplace embraces diversity and inclusion - it's a place where you can grow, belong and thrive.
**Your day at NTT DATA**
The Associate Regulatory Compliance Analyst is an entry level role, responsible for playing a support role in the organization's efforts to comply with various international and/or regional laws, regulations, and industry standards relevant to the IT sector.
This role provides valuable assistance to the broader regulatory compliance team and gains practical experience in regulatory compliance activities.
This role supports with research and monitoring activities and assists in the development and implementation of regulatory compliance policies, procedures and processes.
An Associate Regulatory Compliance Analyst is instrumental in assisting the company with adhering to regulatory requirements and industry standards, ensuring that it operates within the bounds of applicable laws and regulations while minimizing legal risks and promoting ethical conduct.
This role works under the supervision of a manager or more experienced team member.
**Key responsibilities:**
+ Conducts research on global and regional laws, regulations, and industry standards affecting the IT industry.
+ Stays updated on regulatory changes and their potential impact on the company.
+ Assists in the preparation and maintenance of compliance documentation and reports for internal and external stakeholders (may include regulatory filings, audit reports, and compliance records).
+ Supports compliance monitoring activities by assisting in tracking compliance initiatives, conducting basic internal audits, and ensuring documentation is up to date.
+ Assists in the review and updating of compliance policies, procedures, and guidelines to ensure alignment with legal and regulatory requirements.
+ Maintains accurate records and databases related to compliance activities, including compliance training records and incident logs.
+ Participates in compliance training programs to develop an understanding of compliance standards, regulations, and best practices.
+ Contributes to the identification of potential compliance risks and vulnerabilities.
+ Assists in the development of mitigation plans to cover potential risks and vulnerabilities.
+ Assists in reviewing contracts, agreements, and partnerships for compliance with legal and regulatory obligations, focusing on basic contract terms.
**To thrive in this role, you need to have:**
+ Familiarity with legal and regulatory frameworks relevant to the IT industry, including data protection laws, export controls, and industry-specific regulations.
+ Analytical skills to interpret and apply complex legal and regulatory requirements.
+ Effective written and verbal communication skills to convey compliance information to team members and stakeholders.
+ Attention to detail to ensure accurate documentation and adherence to compliance standards.
+ Ability to collaborate effectively with cross-functional teams and stakeholders.
+ Aptitude for identifying compliance challenges and proposing potential solutions.
+ Possesses high ethical standards and integrity, with a commitment to promoting a culture of compliance and ethics.
+ Has data analysis skills to assist in compliance monitoring and reporting.
+ Ability to work independently or as part of a team.
+ Has organizational and time management skills, together with effective planning and problem-solving skills.
**Academic qualifications and certifications:**
+ Bachelor's degree or equivalent in law, business, compliance, or a related field.
+ Relevant certifications in compliance, such as Certified Compliance and Ethics Professional (CCEP), Certified Information Systems Security Professional (CISSP), or Certified Regulatory Compliance Manager (CRCM).
**Required experience:**
+ Entry level of knowledge of relevant laws and regulations, including data protection laws, antitrust regulations, export controls, and industry-specific regulations.
+ Entry level of experience in compliance, legal, or regulatory roles within the IT industry or a related field.
+ Entry level of experience with compliance auditing, reporting, and documentation.
+ Entry level of experience working within a global matrixed organization, preferably within the IT services industry.
**Workplace type** **:**
Hybrid Working
**About NTT DATA**
NTT DATA is a $30+ billion trusted global innovator of business and technology services. We serve 75% of the Fortune Global 100 and are committed to helping clients innovate, optimize and transform for long-term success. We invest over $3.6 billion each year in R&D to help organizations and society move confidently and sustainably into the digital future. As a Global Top Employer, we have diverse experts in more than 50 countries and a robust partner ecosystem of established and start-up companies. Our services include business and technology consulting, data and artificial intelligence, industry solutions, as well as the development, implementation and management of applications, infrastructure, and connectivity. We are also one of the leading providers of digital and AI infrastructure in the world. NTT DATA is part of NTT Group and headquartered in Tokyo.
**Equal Opportunity Employer**
NTT DATA is proud to be an Equal Opportunity Employer with a global culture that embraces diversity. We are committed to providing an environment free of unfair discrimination and harassment. We do not discriminate based on age, race, colour, gender, sexual orientation, religion, nationality, disability, pregnancy, marital status, veteran status, or any other protected category. Join our growing global team and accelerate your career with us. Apply today.

Are you a seasoned Compliance Officer looking for your next challenge? Ourclient is seeking a dedicated and experienced Compliance Officer to join their team. This role is perfect for a professional who is passionate about delivering high-quality compliance and risk management services to financial services clients.Key Responsibilities: Deliver outsourced compliance services to independent Financial Services Providers (FSPs) and corporate clients. Fulfil compliance duties required by legislation such as FAIS, FICA, POPI, the Companies Act, Medical Schemes Act, and the Insurance Act. Help clients achieve Treating Customers Fairly (TCF) outcomes. Establish and maintain a culture of compliance by providing a compliance risk framework to clients. Provide high-quality, personalised, and substantive reports to clients, ensuring all functions meet deadlines and standards set by the Regional Manager. Contribute positively to the regional team and the company’s development and well-being. Source and onboard new clients. Qualifications & Experience: A minimum of 3 years of proven experience in compliance or risk management within the financial services industry. Must be a registered and approved Compliance Officer with the FSCA (FSB) for at least Category I. Hold a recognised Legal or Accounting degree, or another qualification from the FSCA’s list of approved qualifications for Compliance Officers. Must have a strong working knowledge of compliance legislation, including FICA and FAIS, with POPI knowledge being an advantage. Possess an understanding of risk management principles. Skills & Competencies: Exceptional verbal and written communication skills. Ability to work independently and as part of a team, even under pressure. Proficient presentation skills. #J-18808-Ljbffr

Senior Manager Regulatory Compliance Location: Durban Well-established financial services client is looking for a Senior Regulatory Compliance Manager with 5 years in a similar position. Salary: Negotiable based on experience and qualifications Minimum Requirements: LLB Degree Admitted Attorney Member of the Compliance Institute of SA RE5 Accredited: Advantageous 5 years’ experience in a regulatory compliance position 3 years managerial experience Must come from the financial services industry Full job description will be discussed in the interview process. Please apply online. FROGG Recruitment We offer: Medical Aid Contribution Provident Fund Contribution #J-18808-Ljbffr

Job Description Responsibilities: Identify and manage all Regulatory requirements of the Group, including mortgage providers and insurance companies offering credit life and homeowners. Manage the completion of all commentary and/or impact assessments requested from various Regulatory Bodies including the Prudential Authority, Financial Intelligence Centre, National Credit Regulator, and Information Regulator. Provide expert guidance and recommendations to ensure adherence to multiple laws and regulations regulating the affairs of the Group. Demonstrate an in-depth understanding of key legislations such as the NCA, FAIS Act, POPIA, FIC, and other applicable laws (including subordinate legislation) that impact the Group. Conduct compliance regulatory training, keeping Compliance and all internal stakeholders (1st line) informed and updated on regulatory changes and policy requirements. Build and maintain trusted relationships with internal stakeholders (i.e., the Division’s 1st line as well as 2nd line functions) by establishing effective partnerships to identify and manage compliance regulatory risks. Develop and maintain a clear understanding of the scope and nature of the business conducted by 1st line (business acumen). Develop a solid understanding of all high-risk legislation that applies to the Group. Keep abreast of all regulatory developments/changes that may potentially impact the Group and engage with all relevant stakeholders on a timely basis to ensure business readiness and ongoing compliance risk management. Contribute to the creation of a compliance culture and compliance awareness in the division by becoming a trusted advisor to 1st line (whilst maintaining independence of mind as part of 2nd line). Execute on all Regulatory Compliance projects (end-to-end) within set timelines. Provide advice, guidance, and recommendations to 1st and 2nd line on whether regulatory compliance requirements are met. Ensure accurate and timely reporting on any non-compliance, the management of compliance risks, and the state of compliance in the division (1st line). Provide advice, guidance, and recommendations to stakeholders on the state of regulatory compliance by reporting on how key risks are being managed, highlighting areas that require immediate attention, and recommending corrective action to stakeholders. Present potential compliance regulatory findings to stakeholders through formal engagement. Take an active part in all Regulatory Compliance governance. Assist in filing regulatory reports to the respective regulators, keeping the Group in good standing with regulatory bodies. Candidate Requirements - LLB Degree - Admitted Attorney - Member of the Compliance Institute of SA - RE5 How to Apply Please forward your CV to . Should you not be contacted within 2 weeks, kindly consider your application unsuccessful. #J-18808-Ljbffr