191 Compliance Management jobs in South Africa

Job description
Post-trade compliance monitoring: Full ownership and ongoing review of processes for the asset manager and CIS Manager.
Investment mandates: Review and sign off during onboarding and ensure ongoing compliance with client mandates.
CISCA regulatory compliance: Monitor compliance according to the annual plan and submit reports to FSCA.
Regulatory engagement: submission of mandate applications, ASISA standards, deed and supplemental deeds as business need requires. Including submission of new CIS funds.
Pre-trade compliance monitoring: Liaise with developers and traders, advise on high-risk rules.
Client and regulatory reporting: Manage all investment-related compliance reporting (e.g., reg 28, breaches).
Record Keeping: Maintain detailed records and documents related to compliance activities.
Industry forums/workshops: Attend relevant events.
Insider notification and personal account trading: Coordinate processes as per internal policies.
Trustee liaison: Respond to breaches, overdraft emails, and other requests.
Escalation: Communicate unresolved or material tasks to the Head of Compliance and Risk.

General:

Assist the Head of Compliance and Risk on an adhoc basis as business needs arise.

Characteristics
Teamwork and adherence to core compliance values.
Ability to balance priorities and motivate others.
Create a climate for optimal performance.
Guide staff to achieve regulatory excellence.
Accountability for time, tasks, and output quality.
Effective time management and planning.
Proactive attitude.
Qualifications
Relevant degree in relation to financial services.
Regulatory exams for CAT I and II FSP.

To apply for this role please send your CV and supporting documentation to

Job description
Post-trade compliance monitoring: Full ownership and ongoing review of processes for the asset manager and CIS Manager.
Investment mandates: Review and sign off during onboarding and ensure ongoing compliance with client mandates.
CISCA regulatory compliance: Monitor compliance according to the annual plan and submit reports to FSCA.
Regulatory engagement: submission of mandate applications, ASISA standards, deed and supplemental deeds as business need requires. Including submission of new CIS funds.
Pre-trade compliance monitoring: Liaise with developers and traders, advise on high-risk rules.
Client and regulatory reporting: Manage all investment-related compliance reporting (e.g., reg 28, breaches).
Record Keeping: Maintain detailed records and documents related to compliance activities.
Industry forums/workshops: Attend relevant events.
Insider notification and personal account trading: Coordinate processes as per internal policies.
Trustee liaison: Respond to breaches, overdraft emails, and other requests.
Escalation: Communicate unresolved or material tasks to the Head of Compliance and Risk.

General:

Assist the Head of Compliance and Risk on an adhoc basis as business needs arise.

Characteristics
Teamwork and adherence to core compliance values.
Ability to balance priorities and motivate others.
Create a climate for optimal performance.
Guide staff to achieve regulatory excellence.
Accountability for time, tasks, and output quality.
Effective time management and planning.
Proactive attitude.
Qualifications
Relevant degree in relation to financial services.
Regulatory exams for CAT I and II FSP.

To apply for this role please send your CV and supporting documentation to

Senior Manager Regulatory ComplianceLocation : DurbanWell-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 qualificationsMinimum Requirements : LLB DegreeAdmitted AttorneyMember of the Compliance Institute of SARE5 Accredited : Advantageous5 years' experience in a regulatory compliance position3 years managerial experienceMust come from the financial services industryFull job description will be discussed in the interview process.Please apply online.FROGG RecruitmentWe offer : Medical Aid ContributionProvident Fund Contribution

J Ljbffr

Compliance Manager • Durban, KwaZulu-Natal

Senior Regulatory Compliance ManagerA position has become available for a Senior Regulatory Compliance Manager based in Durban.Job PurposeProvide 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 ResponsibilitiesIdentify and manage all Regulatory requirements of the Group.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.Provide expert guidance and recommendations to ensure adherence to multiple laws and regulations regulating the affairs of the Group.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.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 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.Execute on all Regulatory Compliance projects (end-to-end) within set timelines.Provide advice, guidance, and recommendations 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.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.Qualifications : LLB DegreeAdmitted AttorneyMember of the Compliance Institute of SARE5 Accredited : Advantageous5-7 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 Ljbffr

Compliance Manager • Durban, KwaZulu-Natal

Job DescriptionResponsibilities : 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- RE5How to ApplyPlease forward your CV to

Should you not be contacted within 2 weeks, kindly consider your application unsuccessful.

J Ljbffr

Compliance Manager • Durban, KwaZulu-Natal

Risk, Audit and Compliance

Regulatory Compliance

Manage Self: Professional

• To consult, advise and report to the Group regarding relevant domestic and international legislation; compliance and governance to ensure adherence to relevant codes; regulations and rules thereby minimising risk to and protecting the reputation of Nedbank.

• Advise business on best practice for regulatory compliance by ensuring the business is educated on the regulatory landscape and by creating awareness around compliance implication of daily duties.
• Understanding, positioning and articulating for legislative change.
• Support the central function by assisting in developing of policies, procedures, frameworks and tools with specific focus on relevant risk legislation, for the benefit of the larger organisation.
• Define governance frameworks and ensure good governance practice.
• Advise and support the Group to ensure regulatory compliance standards are met and risks are mitigated.
• Identify, define and agree on the regulatory universe applicable for each relevant Business Unit, mitigating risks.
• Provide regulatory support and expertise in the formulation and completion of compliance risk management plans (CRMP's).
• Advise and support business in terms of applicability of legislation and in so doing, mitigate risk.
• Ensure that compliance risk as well as all other impacted risks are adequately identified and in so doing, guide the business in terms of addressing such risk.
• Guide business to ensure that business policies contain the right content addressing legislative requirements thereby working toward an effective and adequate control environment
• Advise business of changes in legislation and identify potential impact of these changes on the business.
• Influence the enhancement of business processes and methodologies specific to the area.
• Support and empower the Group to prevent compliance breaches and reputational risk from occurring, which could result in financial penalties.
• Create and strengthen awareness of the business compliance risk management in relation to evolving regulatory landscape.
• Promote and facilitate cross Cluster engagement, manage and improve business efficiencies.
• Engage with stakeholders on findings of compliance risk and control assessments to ensure action plans adhere to regulatory standards.
• Enable management to make informed decisions and prevent compliance breaches.
• Ensure that stakeholder relationships are effectively managed.
• Obtain buy-in for developing new and/or enhanced processes that will improve the functioning of stakeholders' businesses.
• Stay abreast of developments in field of expertise, ensuring personal and professional growth.
• Understand and embrace the Nedbank vision and values, leading by example.
• Manage performance through training, development and addressing poor performance through relevant channels.
• Educate self-regarding business, through engagement, meetings, procedures and policy awareness.
• Contribute to a culture of transformation by participating in Nedbank culture building initiatives, business strategy, and CSI.

• LLB

• Compliance Practitioner (SA) / CPrac (SA) / Admitted Attorney

• Relevant regulatory and compliance experience in relation to the following areas – inter alia Banks Act, Financial Intelligence Centre Act, National Credit Act,
• Managed risk and compliance
• Interpretation of legislation
• Checking accuracy of business feedback in response to evolving regulatory landscape
• Regulatory Reporting

• 5-10 years in a Compliance/ Legal/ Governance role

• Relevant Governance controls and regulatory knowledge
• Corporate Governance and Compliance
• Compliance reporting
• Policy and Procedural Knowledge
• Building Trusting Relationships
• Managing Work
• Quality Orientation
• Stress Tolerance

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Please contact the Nedbank Recruiting Team at +27 860 555 566

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Nedbank Ltd Reg No 1951/0009/06.
Authorised financial services and registered credit provider (NCRCP16).

For assistance please contact the Nedbank Recruiting Team at +27 860 555 566

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.

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.

- LLB Degree

- Admitted Attorney

- Member of the Compliance Institute of SA

- RE5

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

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