Friday, July 6, 2018

Nedbank Jobs For Matriculants, Compliance Officer Vacancy

Compliance Officer Vacancy

Date: 06-Jul-2018

Location: Johannesburg, ZA

Company: Nedbank

Nedbank Recruiting

Job Classification
Closing Date: 13 July 2018

Location: 135 Rivonia Campus

Division: Wealth Management Local (Nedbank Financial Planning)

Equity Statement: Preference will be given to applicants from designated groups and suitable internal candidates in line with Nedbank's policies.

Job Family
Risk, Audit and Compliance

Career Stream
Regulatory Compliance

Leadership Pipeline
Manage Self: Professional

FAIS Affected

Job Purpose
To monitor and provide oversight on the adherence to compliance practices in Nedbank Financial Planning to ensure compliance risks are managed and reported across Nedbank.

Job Responsibilities
Contribute to a culture of transformation goals by participating in Nedbank culture building initiatives, including CSI. Influence the improvement or enhancement of business processes and methodologies. Ensure compliance risks are managed by developing an annual risk- based compliance monitoring programme across client facing Clusters. Provide advice to stakeholders on compliance. Provide input, review and ensure accurate reporting and articulation of compliance. Provide guidance in the completion of subsidiary compliance risk monitoring programmes. Establish relationships with stakeholders. Provide advice and/or input to internal stakeholders on possible contraventions of compliance risks through early detection. Maintain relationships with internal stakeholders by establishing partnerships in managing compliance risks. Engage with stakeholders formally through determining scope of work, understanding and identifying client needs. Maintain relationships with stakeholders by keeping them informed of any compliance risk related matters that may compromise their business. Develop collaborative relationship with the Compliance Institute of South Africa (CISA). Execute the annual compliance risk-based programme. Monitor compliance risks and determine the state of compliance in client facing Clusters. Ensure compliance requirements are adhered to and adequate compliance risk management practices implemented. Monitor compliance risks and ensure corrective action. Provide assurance to stakeholders on the state of compliance. Present findings of compliance reviews to stakeholders. Comment on mitigating actions to be implemented by stakeholders. Improve personal capability and stay abreast of developments in field of expertise. Ensure personal growth and application of new competence in function. Ensure relevant up skilling takes place and effective handover to relevant responsible person for auctioning. Obtain buy-in for developing new and/or enhanced that will add value to stakeholders' businesses.

Job Outputs
    Improved processes and culture
    Delivered compliance risk management programmes and advice
    Built and maintained stakeholder relationships
    Managed own Career
    Monitored compliance risks

People Specification
Essential Qualifications - NQF Level

    Advanced Diplomas/National 1st Degrees

Preferred Qualification
Post Graduate Diploma: Risk Management , Advanced Diplomas/National 1st Degrees

Essential Certifications
    FAIS where applicable

Preferred Certifications
Compliance Institute of South Africa (CISA) - preferred, not essential

Type of Exposure
    Analysing situations or data that require an in depth evaluation of multiple factors
    Developing ways to assist the management and/or mitigation of risks check
    Drafting reports
    Managing conflict situations
    Influencing stakeholders to obtain buy-in for concepts and ideas
    Sharing information in different ways to increase internal stakeholders understanding
    Comparing two or more sets of information Working with a group to identify alternative solutions to a problem
    Consolidating data from various sources and identify/interpret trends
    Identifying and interpreting regulatory risk trends
    Managing stakeholder expectations
    Monitoring adherence and compliance
    Managing multiple projects
    Interacting with diverse people
    Working across all risk categories
    Presenting to senior leaders

Minimum Experience Level
    3 - 5 years experience in risk management of which 3 years in a compliance related role.
    Non-negotable must have FAIS monitoring experience.

Technical / Professional Knowledge
    Banking knowledge
    Banking procedures
    Business Acumen
    Change management
    Cluster specific operations
    Compliance reporting
    Governance, Risk and Controls
    Industry trends
    Microsoft Office
    Nedbank policies and procedures
    Nedbank vision and strategy
    Principles of project management
    Relevant regulatory knowledge
    Relevant software and systems knowledge
    Reputational risk management
    Risk management process and frameworks
    Stakeholder management
    Business writing skills
    Nedbank culture
    Codes of Good Governance

Behavioural Competencies
    Applied Learning
    Decision Making
    Driving for results
    Work Standards 

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