311 Compliance Management jobs in South Africa

About Us

Brilliant Professional Services is a Professional Services Firm based in Umhlanga. We specialize in supporting professional services firms and highly regulated businesses based in the United Kingdom to manage risk and compliance, optimize profitability, and enhance customer experiences. With an excellent track record of working with brands in the UK and Europe, we offer legal and accountancy talent, client service, complaints management, and remediation services in regulated markets.

We are seeking a detail-oriented and customer-focused Regulatory Compliance Consultant to join our team. In this role, you will be responsible for verifying sales transactions, ensuring accuracy and compliance with company policies, and delivering an exceptional customer experience. Your ability to communicate clearly and professionally will be crucial in confirming order details, addressing customer inquiries, and preventing fraudulent transactions.

• Ensure that all sales comply with the company policies, compliance standards, and quality assurance guidelines.
• Confirm customer orders, pricing, and payment details to prevent errors or fraudulent activity.
• Address customer concerns, clarify product or service details, and provide necessary support.
• Document verification outcomes and maintain accurate records of transactions and client’s personal information.
• Collaborate with the sales team to resolve discrepancies and improve processes and customer experience.
• Report suspicious or unauthorized transactions to the appropriate department for further investigation.

• Previous experience in regulatory compliance, customer experience, or a related field preferred.
• Strong communication and interpersonal skills.
• Attention to detail and ability to identify discrepancies.
• Proficiency in using CRM software and data entry systems.
• Ability to handle confidential customer information with discretion.
• Problem-solving skills and a proactive approach to resolving issues.

About Discovery

Discovery’s core purpose is to make people healthier and to enhance and protect their lives. We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values align with those of Discovery. Our fast-paced and dynamic environment enables smart, self-driven people to be their best. As global thought leaders, Discovery is passionate about innovating in order to not only achieve financial success, but to ignite positive and meaningful change within our society.

Discovery Bank is a bank like no other – a shared-value bank, designed with our clients in mind. We are all about sharing the value that clients create when they manage their money well, back with them through exceptional interest rates and rewards. Our Vitality Money programme measures how well clients manage their finances, informs them of what it means to be financially healthy, and empowers them with the knowledge to get enhanced rewards for managing their money well. If you are adaptable, a problem-solver, always questioning the way things are done, passionate about doing what is right, and obsessed with providing a quality service experience, we have a job for you where you can be your best in an environment that’s safe and nurturing.

The Regulatory Compliance Specialist develops, implements and oversees the regulatory compliance strategies of the bank. Assists in the establishment of an effective compliance function, framework and core processes for the bank.

• Provide Compliance advice and guidance to business and key stakeholders
• Initiates and assists in the development of key compliance policies and standard operating procedures
• Ensures that these policies and procedures are consistent with the approvals of various boards
• Identifies and assists with training and educational needs regarding compliance practices and make recommendations and develop training content
• Ensures compliance with industry regulatory standards
• Implements core Compliance principles, frameworks, processes, systems and platforms
• Implements Compliance Risk Management Framework, reviews Regulatory Universe and implementation of the Compliance Risk Management Plans and control gap analysis.
• Compiles and assists with compliance reports for Management and relevant Bank committees.
• Assists with Regulator and Audit reviews and oversee compliance actions.
• Assist with Regulatory Change and commentary processes in Discovery Bank.
• Register and maintain breaches and incidents.

Required:

• Have an understanding of and an ability to implement Compliance governance
• Have an understanding of the legislative and regulatory requirements impacting the South African Banking Sector
• Have detailed knowledge of the legislative and regulatory environment and reporting requirements imposed by South African Regulators (SARB, FSCA and NCR) specifically, but not limited to, the Banks Act, FAIS, NCA, CPA and Conduct Standards for Banks.

Preferred:

• Microsoft word, excel and power point.

Required:

• A Legal degree, a Bachelors degree and or a compliance qualification
• Have an understanding of the core principles of an effective Compliance function.

Required:

• At least 5 years Compliance experience in the financial services industry.

Preferred:

• Retail Banking experience advantageous

EMPLOYMENT EQUITY The Company’s approved Employment Equity Plan and Targets will be considered as part of the recruitment process. As an Equal Opportunities employer, we actively encourage and welcome people with various disabilities to apply.

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.

Overview

Join to apply for the Associate Regulatory Compliance Analyst role at NTT DATA, Inc.

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.

• 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.

• 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.

• 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).

• 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.

Hybrid Working

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.

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.

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

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.

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.

• 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.

• 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.

• 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).

• 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

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.

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.