Senior Compliance Officer: Monitoring (m/f)

Description

• The Senior Compliance Officer (Monitoring) will provide specialist assistance to Capricorn Group Limited in respect of the management of compliance risk attached to specified categories of regulatory requirements, with specific emphasis on compliance monitoring and the adherence of the Capricorn Group of companies with relevant compliance risk management frameworks, policies, and plans

Duties

• Development and presentation of compliance monitoring manual and monitoring plans for approval by governance stakeholders
• Implementation of an appropriate monitoring methodology with due regard to the principle of materiality and
• Generally Accepted Compliance Practice (GACP) standards and principles
• Preparation of monitoring working papers
• Actively assist in the roll out of the compliance monitoring plans and perform compliance monitoring functions throughout the Group
• Conduct monitoring such as special reviews, post implementation reviews and spot checks when required in alignment with the compliance monitoring plans with the aim of inter alia identifying and improving areas of compliance weakness, monitoring that control objectives are met by effective and adequate controls and review of the integrity of the compliance system
• Analyze compliance findings, effectiveness of controls and draft of monitoring reports for presentation to business unit management and Board sub-committees
• Monitor that agreed action plans in respect of all findings are finalized, logged on the issues log and tracked to resolution
• Facilitate the submission of any compliance reports related to allocated regulatory requirements including reviews in support thereof relevant compliance monitoring tools for the allocated regulatory requirements to assist management to manage the associated compliance risk
• Submit detailed monthly reports of activities covered to the Group Head: Compliance and to collate and assist with the finalization of monthly Compliance report as and when required
• Assist in the compilation of monthly EMT/EXCO reports as well as quarterly BARC reports when required to dos
• Provide relevant, accurate and updated information on request or in terms of agreed timelines to the Group
• Head: Compliance to be included in various stakeholder report
• Actively participate in process re-engineering, product development and other project meetings were invited to provide subject matter expertise on compliance requirements and contribute to the risks and issues logs for these meetings
• Conduct quality assurance of compliance documents such as risk management plans, compliance audit programmes, compliance findings, opinions by business units’ risk and compliance officers and provide detailed feedback within agreed timelines
• Continued pro-active stakeholder engagement and involvement on a business, regulator, and industry level
• Maintaining good relationships with Compliance colleagues and business units and provide regular support to the same
• Regularly attend industry meetings such as FIC meetings, BAN Compliance Sub-committee meetings, BON workshops etc. when required to do so
• Participate in industry-related initiatives and establish networks with key role players

Requisites

• Relevant degree or equivalent qualification in internal audit, accounting or financial management
• Relevant professional certification will be an advantage
• A certificate in Compliance Management monitoring would be a distinct advantage
• At least three to five years’ experience in Internal Audit and/or Compliance
• Experience in development of audit/monitoring manuals, plans and audit/compliance monitoring methodology
• Ability to develop a monitoring programme and effectively plan ahead, i.e. 3 year monitoring plans
• A general knowledge and understanding of the industries in the Group, as well as legislation, rules and regulations impacting the Group
• A general knowledge and understanding of the processes and procedures within the Group would be a distinct advantage
• Good computer literacy/knowledge of MS Word, MS Excel and MS Outlook
• Ability to communicate effectively, verbally and in writing, to clearly express the logically reasoned ideas
• Ability to think clearly and asses matters quickly and to solve problems with the minimum fuss and time
• Ability to make/take calculated decisions act accordingly
• Knowledge of sourcing information
• Core Competencies:
• Leading and supervising
• Adhering to principles and values
• Analyzing
• Writing and reporting
• Logical thinking/reasoning
• Planning and organizing
• Entrepreneurial and commercial thinking
• Emotional maturity and impeccable integrity
• Self-starter and dedicated
• Be able to work independently and proactively
• Credibility and good communication skills
• Flexibility and the ability to accept challenges
• Take initiative and work with minimum supervision
• Teamwork
• Observant

Notes

• Only shortlisted applicants will be contacted