366 Compliance Manager 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

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 Identify 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 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

Compliance Manager page is loaded# Compliance Managerlocations: Johannesburgtime type: Full timeposted on: Posted Yesterdaytime left to apply: End Date: September 30, 2025 (3 days left to apply)job requisition id: R28659# **Job Description**To ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.* Control expenditure and identify process improvements to contain and reduce costs.* Provide input into the budget and manage and report on budget usage that reflects delivery of planned work within agreed parameters.* Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.* Deliver customer experience excellence in own service delivery aligned to Organisational values and service standards.* Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.* Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.* Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities.* Implement, monitor and control business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.* Ensure the development, alignment, mapping and implementation of end-to-end processes aligned to the customer journey map.* Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.* Monitor customer feedback reports and align processes to maximise efficiencies.* Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.* Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.* Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.* Compiling monitoring reports on the results of monitoring.* Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.* Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.* Research and communicate applicable legislative developments to all stakeholders.* Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.* Provide training on regulatory requirements to channels.* Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.* Ensure implementation of relevant policies, governance and practice standards across the business.* Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.* Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findings and changes.* Develops an understanding of risks and risk management approaches.* Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.* Educates others and makes suggestions for improvements.* Networks and participates in specialist risk forums where required.* Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.* Develop and implement an area operational plan in achievement of Business objectives.* Responsible for implementing and enforcing the organisation's or business units' compliance programme.* Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.* Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields.* Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.* Performs statistical sampling and monitoring.* Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable.# # ***Job Details***# **Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.**30/09/25All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.Introduce yourself to our recruiters and we will get in touch if there's a role that seems like a good match.Should you have any queries, please log it via .
#J-18808-Ljbffr

Compliance Manager page is loaded# Compliance Managerlocations: Johannesburgtime type: Full timeposted on: Posted Todaytime left to apply: End Date: September 30, 2025 (4 days left to apply)job requisition id: R28659# **Job Description**To ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.* Control expenditure and identify process improvements to contain and reduce costs.* Provide input into the budget and manage and report on budget usage that reflects delivery of planned work within agreed parameters.* Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.* Deliver customer experience excellence in own service delivery aligned to Organisational values and service standards.* Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.* Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.* Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities.* Implement, monitor and control business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.* Ensure the development, alignment, mapping and implementation of end-to-end processes aligned to the customer journey map.* Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.* Monitor customer feedback reports and align processes to maximise efficiencies.* Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.* Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.* Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.* Compiling monitoring reports on the results of monitoring.* Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.* Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.* Research and communicate applicable legislative developments to all stakeholders.* Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.* Provide training on regulatory requirements to channels.* Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.* Ensure implementation of relevant policies, governance and practice standards across the business.* Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.* Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findings and changes.* Develops an understanding of risks and risk management approaches.* Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.* Educates others and makes suggestions for improvements.* Networks and participates in specialist risk forums where required.* Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.* Develop and implement an area operational plan in achievement of Business objectives.* Responsible for implementing and enforcing the organisation's or business units' compliance programme.* Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.* Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields.* Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.* Performs statistical sampling and monitoring.* Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable.# # ***Job Details***# **Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.**30/09/25All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.Introduce yourself to our recruiters and we will get in touch if there's a role that seems like a good match.Should you have any queries, please log it via .
#J-18808-Ljbffr

Compliance Manager page is loaded# Compliance Managerlocations: Johannesburgtime type: Full timeposted on: Posted Todaytime left to apply: End Date: September 30, 2025 (3 days left to apply)job requisition id: R28659# **Job Description**To ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.* Control expenditure and identify process improvements to contain and reduce costs.* Provide input into the budget and manage and report on budget usage that reflects delivery of planned work within agreed parameters.* Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.* Deliver customer experience excellence in own service delivery aligned to Organisational values and service standards.* Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.* Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.* Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities.* Implement, monitor and control business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.* Ensure the development, alignment, mapping and implementation of end-to-end processes aligned to the customer journey map.* Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.* Monitor customer feedback reports and align processes to maximise efficiencies.* Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.* Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.* Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.* Compiling monitoring reports on the results of monitoring.* Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.* Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.* Research and communicate applicable legislative developments to all stakeholders.* Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.* Provide training on regulatory requirements to channels.* Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.* Ensure implementation of relevant policies, governance and practice standards across the business.* Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.* Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findings and changes.* Develops an understanding of risks and risk management approaches.* Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.* Educates others and makes suggestions for improvements.* Networks and participates in specialist risk forums where required.* Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.* Develop and implement an area operational plan in achievement of Business objectives.* Responsible for implementing and enforcing the organisation's or business units' compliance programme.* Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.* Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields.* Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.* Performs statistical sampling and monitoring.* Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable.# # ***Job Details***# **Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.**30/09/25All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.Introduce yourself to our recruiters and we will get in touch if there's a role that seems like a good match.Should you have any queries, please log it via .
#J-18808-Ljbffr

Compliance Manager page is loaded# Compliance Managerlocations: Johannesburgtime type: Full timeposted on: Posted Todaytime left to apply: End Date: September 30, 2025 (4 days left to apply)job requisition id: R28659# **Job Description**To ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.* Control expenditure and identify process improvements to contain and reduce costs.* Provide input into the budget and manage and report on budget usage that reflects delivery of planned work within agreed parameters.* Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.* Deliver customer experience excellence in own service delivery aligned to Organisational values and service standards.* Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.* Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.* Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities.* Implement, monitor and control business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.* Ensure the development, alignment, mapping and implementation of end-to-end processes aligned to the customer journey map.* Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.* Monitor customer feedback reports and align processes to maximise efficiencies.* Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.* Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.* Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.* Compiling monitoring reports on the results of monitoring.* Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.* Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.* Research and communicate applicable legislative developments to all stakeholders.* Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.* Provide training on regulatory requirements to channels.* Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.* Ensure implementation of relevant policies, governance and practice standards across the business.* Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.* Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findings and changes.* Develops an understanding of risks and risk management approaches.* Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.* Educates others and makes suggestions for improvements.* Networks and participates in specialist risk forums where required.* Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.* Develop and implement an area operational plan in achievement of Business objectives.* Responsible for implementing and enforcing the organisation's or business units' compliance programme.* Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.* Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields.* Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.* Performs statistical sampling and monitoring.* Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable.# # ***Job Details***# **Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.**30/09/25All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.Introduce yourself to our recruiters and we will get in touch if there's a role that seems like a good match.Should you have any queries, please log it via .
#J-18808-Ljbffr

Compliance Manager page is loaded# Compliance Managerlocations: Johannesburgtime type: Full timeposted on: Posted Todaytime left to apply: End Date: September 30, 2025 (4 days left to apply)job requisition id: R28659# **Job Description**To ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.* Control expenditure and identify process improvements to contain and reduce costs.* Provide input into the budget and manage and report on budget usage that reflects delivery of planned work within agreed parameters.* Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.* Deliver customer experience excellence in own service delivery aligned to Organisational values and service standards.* Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.* Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.* Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities.* Implement, monitor and control business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.* Ensure the development, alignment, mapping and implementation of end-to-end processes aligned to the customer journey map.* Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.* Monitor customer feedback reports and align processes to maximise efficiencies.* Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.* Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.* Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.* Compiling monitoring reports on the results of monitoring.* Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.* Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.* Research and communicate applicable legislative developments to all stakeholders.* Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.* Provide training on regulatory requirements to channels.* Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.* Ensure implementation of relevant policies, governance and practice standards across the business.* Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.* Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findings and changes.* Develops an understanding of risks and risk management approaches.* Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.* Educates others and makes suggestions for improvements.* Networks and participates in specialist risk forums where required.* Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.* Develop and implement an area operational plan in achievement of Business objectives.* Responsible for implementing and enforcing the organisation's or business units' compliance programme.* Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.* Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields.* Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.* Performs statistical sampling and monitoring.* Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable.# # ***Job Details***# **Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.**30/09/25All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.Introduce yourself to our recruiters and we will get in touch if there's a role that seems like a good match.Should you have any queries, please log it via .
#J-18808-Ljbffr

Compliance Manager page is loaded# Compliance Managerlocations: Johannesburgtime type: Full timeposted on: Posted Todaytime left to apply: End Date: September 30, 2025 (4 days left to apply)job requisition id: R28659# **Job Description**To ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.* Control expenditure and identify process improvements to contain and reduce costs.* Provide input into the budget and manage and report on budget usage that reflects delivery of planned work within agreed parameters.* Build working relationships across teams and functional lines to enhance work delivery, collaboration and innovation.* Deliver customer experience excellence in own service delivery aligned to Organisational values and service standards.* Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data.* Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.* Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities.* Implement, monitor and control business processes according to quality standards; policy; and compliance and governance requirements in area of accountability.* Ensure the development, alignment, mapping and implementation of end-to-end processes aligned to the customer journey map.* Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.* Monitor customer feedback reports and align processes to maximise efficiencies.* Analyse and interpret regulation and legislation and using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.* Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.* Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.* Compiling monitoring reports on the results of monitoring.* Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.* Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.* Research and communicate applicable legislative developments to all stakeholders.* Assist with the promotion of a culture of compliance and awareness and actively participating in compliance projects and training initiatives.* Provide training on regulatory requirements to channels.* Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability.* Ensure implementation of relevant policies, governance and practice standards across the business.* Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements.* Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findings and changes.* Develops an understanding of risks and risk management approaches.* Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks.* Educates others and makes suggestions for improvements.* Networks and participates in specialist risk forums where required.* Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.* Develop and implement an area operational plan in achievement of Business objectives.* Responsible for implementing and enforcing the organisation's or business units' compliance programme.* Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.* Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields.* Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies.* Performs statistical sampling and monitoring.* Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable.# # ***Job Details***# **Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.**30/09/25All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.Introduce yourself to our recruiters and we will get in touch if there's a role that seems like a good match.Should you have any queries, please log it via .
#J-18808-Ljbffr

Description

To ensure the implementation of the Group’s compliance frameworks and programmes in consultation with the business, ensuring conformance and adherence to regulations, and delivering through a team of Compliance resources / specialists.

Ensure adherence to organisational policies and procedures, especially regulatory and ethical standards.

• Provide regular reports on service delivery against agreed service level agreements and customer targets.
• Gather information to review work progress, supporting reporting, decision-making, and identifying improvement opportunities.
• Implement, monitor, and control business processes according to quality standards, policies, and compliance and governance requirements.
• Review existing processes and suggest innovative ideas to improve and streamline, driving efficiencies and reducing redundancy.
• Analyze and interpret regulation and legislation using a risk-based approach; identify and risk-rate applicable laws and regulations for responsible business units.
• Develop and implement compliance / legislative universe for responsible business units.
• Develop and implement Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.
• Compile monitoring plans with methodologies and frequencies.
• Prepare monitoring reports on results.
• Report incidents promptly, escalating compliance risks and incidents.
• Interpret regulation and legislation, assisting business units with practical implementation.
• Advise management on systems, policies, processes, and controls to enable compliance.
• Promote a culture of compliance and awareness, participating in projects and training initiatives.
• Provide regulatory requirements training to channels.
• Ensure policies, governance, and standards are implemented across the business.
• Maintain knowledge of legislative amendments, industry best practices, and internal procedures.
• Review compliance systems and procedures in response to audits and changes.
• Develop understanding of risks and risk management approaches.
• Implement and contribute to governance and compliance procedures, identifying risks.
• Participate in specialist risk forums as required.
• Implement and enforce the organisation's compliance programme.
• Monitor regulatory obligations within FAIS Act, code of conduct, and related requirements.
• Manage and oversee FAIS compliance, including licensing and levies.
• Maintain register of representatives and inform the Registrar of changes.
• Possibly supervise and control KYC / AML and FATCA / AEOI regulations, analyzing documents and advising on acceptability.
• Ensure ongoing regulatory compliance, monitoring, and validation of investor files.
• Lead the AML / KYC team, managing resources and development.
• Encourage teamwork and inclusivity.
• Manage team performance towards business objectives.
• Monitor and report potential breaches across digital platforms and customer touchpoints.
• Balance regulatory requirements with digital innovation, demonstrating a solution-oriented mindset.
• Adapt to fast-paced, evolving environments.
• Possess knowledge of AI governance, algorithmic transparency, and compliance risks in digital sales channels.

Qualification & Experience

• 5 to 7 years' experience in compliance
• BCom in Compliance or equivalent
• Strong understanding of FAIS, AML, KYC frameworks

Job Details

Note that applications will not be accepted after 21/08/2025. Please submit applications before this date.

All appointments will align with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment of individuals with disabilities; candidates may disclose disability information voluntarily, which will be kept confidential unless required by law.

#J-18808-Ljbffr