Position Name: HEAD OF RISK AND COMPLIANCE FIDUCIARY

Description:

Purpose of the Job

To mitigate and manage compliance risk through raising awareness of applicable legislative requirements, implementing processes and procedures to ensure compliance with legislative, regulatory and supervisory requirements through implementing the Group’s Compliance Framework and directives.

This involves conducting legislative assessments; monitoring compliance and effectively and timeously reporting incidents of non – compliance

Key Outputs:

• Liaise with regional / relationship managers.
• Implement  EGC legislative, regulatory and supervisory requirements as identified by Group; communicate compliance initiatives; support and create awareness; train staff of new compliance initiatives, documents processes; recommend improvements to minimise risk.
• Audit Compliance and risk via mini audits, analyse audit requirements while making branches aware of concerns and problems, monitor against action plans, report on issues
• Report to Head of Business on status of compliance risk in the business, follow up on outstanding action
• Advising & consulting with management / staff on compliance risk issues, attending to queries
• Develop, set and agree with management in terms of mandates, SLA's, compliance implementation measures.
• Review operational processes in terms of Target Operating Model ( TOM)
• Ensure competent staff through
  1. Resource allocation
  2. Training and Communication (including multi skilling of staff)
  3. Performance Management
  4. Coaching
  5. HR issues (IR, Recognition, Recruitment, EE, Talent Management, staff one on one discussions)
  6. Meetings
  7. Empowering and Succession Planning
• Self development in terms of attending investment related training , Upskilling in terms of financial industry products and services
• Keep up to date with industry developments and compliance issues, attend development related initiatives, discuss progress with manager

Minimum Requirements:

• Bcom Law Degree
• B.Proc/LLB/BCompt/Dip. Acc
• Member of CISA
• 5 Years in a Fiduciary business performing a similar role
• Fiduciary / Banking

Technical Competencies

• FAIS Act
• FICA Act
• Investments
• Offshore Funds
• Globus
• CAMRA
• Banking Systems understanding
• Investment Banking Knowledge
• Cash Management
• Unit Trust
• Endowments and Life products

Remuneration: negotiable

Area: Gauteng

Consultant: Jennifer Blaine

Date Start : asap
Date End:

Position Type: Permanent

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