186 Compliance Monitoring jobs in South Africa

You will conduct sampling to ensure the Company adheres to its Policies, Procedures & Controls with the use of the Compliance Monitoring Program & Periodic reviews.

Key Duties and Responsibilities:

• Ensuring that clients due diligence is collected to the appropriate standard in line with our internal policies and procedures.
• Conduct Periodic Reviews, record any deficiencies and generate action points for remediation.
• Conduct client screening using our screening system and open-source searches.
• Monitor and analyse the results of the automated ongoing screening system and conducting research on relevant parties where potential adverse matches are identified.
• Conduct compliance monitoring in accordance with the compliance monitoring programme, to ensure compliance with all regulatory requirements and AML/CFT/CPF, record deficiencies and generate remediating action points.
• Assist in the development, implementation and continuous improvement of internal policies and procedures to ensure operational efficiency and compliance.
• Assist in the development and delivery of training materials for staff members on compliance topics.
• Assist in providing day to day support/guidance to the staff as required in respect of compliance and AML/CFT/CPF matters.
• Participate in training sessions to increase your knowledge and understanding of the regulatory environment.
• Complete any other duties as and when required to drive business success.
• Assisting with the project management of new initiatives.
• Adopt and reflect company values.

Competencies

• Experience of working in a compliance environment.
• An ability to articulate complex issues in a clear and concise manner.
• An aptitude for problem solving.
• A methodical approach to tasks with a strong focus on attention to detail.
• Experience in collating and summarising data.
• Excellent organisational skills; prioritising, achieving deadlines.
• Consistently work at the standard required by the team and business.
• A willing and flexible attitude to working hours to support team and business needs, as required.

Compliance Monitoring Officer (Financial Services)

2025-08-13 - 2025-09-12

Permanent

SW005763

Finance

Insurance

Legal

Western Cape , Somerset West

A well established international financial services concern with offices in Somerset West is seeking a Compliance Monitoring Officer who will plays a crucial role in protecting the company by ensuring the company’s Policies, Procedures and Controls (P,P&Cs) are in line with all relevant regulations and laws.

As the Compliance Monitoring Officer, you will conduct sampling to ensure the company adheres to its Policies, Procedures and Controls with the use of the Compliance Monitoring Programme and Periodic Reviews. The post holder will be working as a member of the Compliance Team based in the South African office and reports to the Team Leader, Compliance

Key Duties and Responsibilities:

• Ensuring that client’s due diligence is collected to the appropriate standard in line with our internal policies and procedures.
• Conduct Periodic Reviews, record any deficiencies and generate action points for remediation.
• Conduct client screening using our screening system and open-source searches.
• Monitor and analyse the results of the automated ongoing screening system and conducting research on relevant parties where potential adverse matches are identified.
• Conduct compliance monitoring in accordance with the compliance monitoring programme, to ensure compliance with all regulatory requirements and AML/CFT/CPF, record deficiencies and generate remediating action points.
• Assist in the development, implementation, and continuous improvement of internal policies and procedures to ensure operational efficiency and compliance
• Assist in the development and delivery of training materials for staff members on compliance topics.
• Assist in providing day to day support/guidance to the staff as required in respect of compliance and AML/CFT/CPF matters.
• Participate in training sessions to increase your knowledge and understanding of the regulatory environment.
• Complete any other duties as and when required to drive business success.
• Assisting with the project management of new initiatives.
• Adopt and reflect company values

• Experience of working in a compliance environment.
• An ability to articulate complex issues in a clear and concise manner.
• An aptitude for problem solving.
• A methodical approach to tasks with a strong focus on attention to detail
• Experience in collating and summarising data.
• Excellent organisational skills; prioritising, achieving deadlines.
• Consistently work at the standard required by the team and business.
• A willing and flexible attitude to working hours to support team and business needs, as required.

• Compliance Team
• Directors
• Management Team
• Colleagues

• Conduct compliance monitoring and risk-based assessments.
• Oversee regulatory compliance across internal teams and third-party providers.
• Manage and monitor Binder Holders and Intermediaries.
• Develop and implement Compliance Risk Management Plans (CRMPs).
• Prepare clear compliance reports and engage with regulators.
• Administer and optimise the Exclaim Risk and Compliance Software.
• Drive training and awareness initiatives.
• Promote Treating Customers Fairly (TCF) and uphold market conduct standards.

• Matric (Garde 12)
• LLB
• RE1 & RE5 (Compliance certification such as CPrac(SA) advantageous).

• Minimum of 3 years compliance monitoring experience in insurance/financial services, with proven oversight of Intermediaries, Binder Holders, or Outsourced Providers.
• Proficient in Exclaim or similar compliance software and MS Office Suite.
• Deep understanding of SA insurance legislation and global compliance standards.

• High ethical standards, integrity, and professionalism.
• Attention to detail with a commitment to accuracy.
• Proactive, solution-oriented mindset.
• Independence and objectivity in assessments.
• Collaborative team player with a strong customer service orientation.
• Adaptability and willingness to embrace ongoing learning.
• Accountability and ownership of responsibilities.

The Role
The Compliance Monitoring Officer plays a crucial role in protecting the company by ensuring the company’s Policies, Procedures and Controls (P,P&Cs) are in line with all relevant regulations and laws. As  the Compliance Monitoring Officer, you will conduct sampling to ensure the company adheres to its Policies, Procedures and Controls with the use of the Compliance Monitoring Program and Periodic Reviews. The post holder will be working as a member of the Compliance Team based in our South Africa office and reports to the Associate Director, Compliance based overseas. 

Key Duties and Responsibilities

• Ensuring that client’s due diligence is collected to the appropriate standard in line with our internal policies and procedures.
• Conduct Periodic Reviews, record any deficiencies and generate action points for remediation.
• Conduct client screening using our screening system and open-source searches.
• Monitor and analyse the results of the automated ongoing screening system and conducting research on relevant parties where potential adverse matches are identified.
• Conduct compliance monitoring in accordance with the compliance monitoring programme, to ensure compliance with all regulatory requirements and AML/CFT/CPF, record deficiencies and generate remediating action points.
• Assist in the development, implementation, and continuous improvement of internal policies and procedures to ensure operational efficiency and compliance
• Assist in the development and delivery of training materials for staff members on compliance topics.
• Assist in providing day to day support/guidance to the staff as required in respect of compliance and AML/CFT/CPF matters.
• Participate in training sessions to increase your knowledge and understanding of the regulatory environment.
• Complete any other duties as and when required to drive business success.
• Assisting with the project management of new initiatives.
• Adopt and reflect the company's values.

Competencies

• Experience of working in a compliance environment.
• An ability to articulate complex issues in a clear and concise manner.
• An aptitude for problem solving.
• A methodical approach to tasks with a strong focus on attention to detail. 
• Experience in collating and summarising data.
• Excellent organisational skills; prioritising, achieving deadlines.
• Consistently work at the standard required by the team and business.
• A willing and flexible attitude to working hours to support team and business needs, as required. 

TransUnion's Job Applicant Privacy Notice

What We'll Bring:

What You'll Bring:

How You’ll Contribute

• You will bring your knowledge of relevant regulations and expertise in compliance processes to assist TransUnion with its legal and business obligations. Be a business partner and a trusted advisor to assigned business units, ensuring that the compliance and ethics program activities align with business objectives and become integrated into their business activities.
• You will promote organizational integrity through the operation of effective compliance programs for the business unit, such that assessing the effectiveness of the current combination of controls, metrics, and assurance activities designed to ensure compliance, and identify any gaps.
• Because of your experience in a compliance role and business operations, you will demonstrate knowledge of the business unit's function, processes and compliance requirements. You will have a wide degree of latitude in decision making and defining appropriate solutions, by attending and supporting local management meetings from the compliance and ethics perspective.
• Creates and implements policies, strategies, and programs to prevent, detect, and investigate internal fraud threats and vulnerabilities to TransUnion.
• Conducts investigations and root cause analysis into instances of fraud, ethics violations and compliance breaches that threaten TransUnion’s employees, reputation, assets or integrity.

What You’ll Bring

• You have a bachelor’s degree in risk management, finance, economics, business management, statistics, computer science, pre-law or other related field. (An equivalent combination of education and prior work experience may be substituted at the discretion of management.) Incumbents are preferred to have relevant knowledge of regulatory or procedural compliance issues and the ability to apply them within an operations environment. This enables you to provide the right advice and guidance for the business to implement regulatory initiatives, policies and procedures.
• You have at least three years’ experience in compliance or other risk management discipline, such as audit, examination, fraud examination, quality control, quality assurance, credit risk, information security, data analysis, risk analysis, etc., preferably in the area of data management and privacy, background or employment screening, risk and fraud screening, collections, insurance, digital marketing or financial services.
• You should be detail-oriented and have the ability to review and analyze information and processes in short order.
• You will be charged with making sure that the company adheres to relevant laws, rules, policies and processes. To that end, you must be well versed in consumer rights and related rules, policies, processes, problems and resources.
• You must also be able to decipher information and be able to determine whether the business unit and company are in compliance.
• Your character and your social skills will be major parts of getting and succeeding in this compliance position. Integrity and good reputation are paramount.
• You are analytical and detail-oriented, with project management skills.
• You enjoy a team-based culture that values strong communication and interpersonal skills, sound judgment, curiosity, and adaptability in a fast-paced and dynamic environment.
• You have strong logical, problem solving and decision-making abilities.
• You possess excellent PC skills.
• You maintain a focused, flexible, organized and proactive manner
• You will have the willingness to seek certification as a qualified compliance professional (e.g. Certified Compliance Practitioner, via the Compliance Institute of Southern Africa (CISA) or other relevant certification.

Impact You'll Make:

For positions based in South Africa, preference will be given to suitably qualified candidates from designated groups in line with the company's Employment Equity plan and targets.

Should you have not heard from us within 3 weeks from applying, please regard your application as unsuccessful.

Please note it is a requirement of the Global Capability Centre Africa that you reside in a home that is fibre ready; and has space for you to be able to work comfortably and confidentially on a day-to-day basis for the purpose of your proposed employment. You can be based anywhere in South Africa that has fibre, but will not be able to work in a location outside of South Africa.

A Minimum of a 100 Meg Fibre line is required, should you be successful, you will need to upgrade your line or install fibre in order to work effectively.

TransUnion Job Title

Excellent opportunity for a highly experienced COMPLIANCE MANAGER - MONITORING.

• Relevant tertiary education
• 6 years’ experience in large corporate environment in management, including staff management, implementation and maintenance of processes and procedures.
• Demonstrated success leading change initiatives.

Compliance Risk Monitoring

• Contribute and review of annual compliance monitoring plan for the Group Compliance Management Committee.
• Present the monitoring plan to the relevant stakeholders in the various business units.
• Execute on the monitoring plan approved by the governing body, through evaluation of control activities to provide assurance that control activities are conducted in compliance with the highest compliance obligations.
• Continuously contribute to the Group Compliance monitoring methodology, framework, reporting templates and supporting standard operating procedures.
• Keeping abreast with all regulatory developments and changes in the financial services industry and industry practices.

Reporting

• Review and secure approval of all compliance monitoring reports.
• Attend to annual monitoring plan close-off reporting.
• Provide input into the monthly reports to the various Financial Services Providers (FSPs) within the Group.

Management of Monitoring Officers

• Provide guidance and advise on day-to-day tasks to fulfil execution of monitoring plan timeously.
• Manage and oversee all employee related activities and matters.
• Draft job specifications.
• Draft and review personal and skills development plans.
• Conduct regular performance management reviews.

Operational

• Review business activities to determine compliance with applicable regulatory requirements.
• Compiling of appropriate engagement letters.
• Presenting engagement letters to senior management prior to commencement of monitoring activities.
• Draft and produce finalised working papers and evidence for all components of work, as per standards set in the Compliance Methodology.
• Ensure that working papers are appropriate and include supporting evidence/documents.
• Agree detailed findings with management and provide appropriate recommendations for management actions.
• Presenting monitoring outcomes and recommendations to senior management.
• Obtain and review management comments and action plans related to compliance incidents (breaches and exposures) identified.
• Preparation of follow-up progress reports.

Personal Attributes and Skills

• Experience and skills to manage a professional team.
• Detailed knowledge of South African legislation and regulations to be able to interpret and apply legislation.
• Problem solving skills and conflict-management of situations in a constructive and professional manner.
• Ability to make rational judgements from the available information and analysis and provide considered and consistent advice.
• Strong communication, reporting and presentation skills.
• Ability to work as a team, understand the impact of decisions and be confident enough to raise concerns within the team and to senior management.
• Strong research ability and attention to detail.
• Strong listening, organisational and communication skills.
• Strong leadership and teamwork qualities, including but not limited to, guiding and motivating of team members to achieve a common goal, setting of objectives for the team and supporting their development and be productive.
• Foster a positive work environment that promotes employee satisfaction and retention.
• Experience working in or with short- or long-term insurance companies is beneficial.
• Develop an effective network with business representatives and to build the necessary trust relationship with business representatives, such as executive members and senior management.
• Writes in a well-structured and logical way – must have ability to write and review compliance reports and draft compliance guidance notes with detail required to inform the business of regulatory requirements and potential impacts.
• Able to work well under pressure.
• Efficient time management skills, including quick turnaround time on quality work.