Overview

Job description

An exciting opportunity as a Country Compliance Manager is available for a talented individual to work in our Johannesburg office.

The Country Compliance Manager ensures that any inquiries and exams by regulators in the country are appropriately managed by the relevant Compliance Officers. The Country Compliance Manager escalates any key issues to the appropriate level of management.

Responsibilities for this role also include ensuring consistent quality of activities, processes and outputs by establishing effective review practices across teams. The Country Compliance Manager may be responsible for providing leadership direction, attracting, assessing, developing, motivating and retaining a successful team or serve as an individual contributor. This role may have Money Laundering Reporting Officer responsibilities.

As a Country Compliance Manager your main responsibilities will involve:

  • Compliance risk assessments performed in the country
  • Country Compliance reporting, identifying and aggregating compliance risks/issues for the country
  • Creation of compliance training coverage plans to address local needs
  • Compliance monitoring occurring in the country
  • Oversight of changes in local and regional regulation, including advising on those changes and directing the appropriate areas to implement or amend policies and procedures/processes to address change in regulations
  • Evaluation of internal audit results, regulator identified issues, monitoring & testing (“M&T”) results and advising on remediation required in country
  • Ensuring Compliance “owned” issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely
  • Development of compliance monitoring &testing plans
  • Execute governance and management routines

Additional Local Responsibilities:

  • Handling of client complaints
  • Assisting with local litigation matters and liaising with the local retainer law firm for all the subjects covered by the retainer contract
  • Assisting with outsourcing and SLAs

As a Country Compliance Manager your skills and qualifications will ideally include:

Qualifications:

  • Proven experience of the Compliance/Risk/ Audit function within the banking or Capital Markets industry in South Africa, preferably gained within global investment bank
  • Previous experience of working with a multinational financial services organisation within South Africa is preferred

Skills:

  • Business Acumen – Demonstrates a good appreciation of general business principals. Understands how to present options to the business whilst mitigating and reducing level of risk or exposure to more acceptable levels. Demonstrates regulator, market and competitor awareness
  • Judgement – Judges a situation or situations where different parties hold different views. Considers many different alternatives, avoids any personal bias and carefully assesses the risks
  • Personal Drive – sets a standard of excellence that goes beyond that set by management. Works hard to achieve goals which are a significant stretch but not unrealistic or impossible
  • Influencing – Presents logical arguments, data, concrete examples, facts and arguments clearly. Is able to adapt presentation to target audiences, anticipates impact of action or words and is able to take several different actions to influence

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