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UNICAF

Compliance and Monitoring Manager – Standard Bank

Job Purpose

The purpose of the job is to:

  • Provide input to the bank’s regulatory universe as well as the maintenance therefore with consideration to changes in legislation, Business Unit focus, objectives and control environment.
  • Provide input into and facilitate the completion of CRMP’s.
  • Engage with business, in consultation with the Compliance Manager/ Head of Compliance, regarding the adequacy of controls included in CRMPs by business.
  • Compile an annual monitoring plan in consultation with Business and Compliance Manager/ Head of Compliance, track progress and report changes in the plan to the relevant governance forums.
  • Co-ordinate planning with the Compliance Manager/ Head of Compliance and other assurance providers to ensure efficient coverage of compliance risk.
  • Execute on the compliance monitoring plan inclusive of the progress tracking thereof in line with the ROA Compliance Methodology.

 

Key Responsibilities/Accountabilities

Key responsibilities for the role are as follows:

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  • Utilise established mechanisms for reporting and resolving non-compliance with regulatory requirements
  • Report material compliance related matters to the Compliance Manager/ Head of Compliance.
  • Complete monthly and quarterly compliance reports as may be required by the various Business Unit governance structures.
  • Promote on an on-going basis, the Compliance Function, to ensure that a culture of compliance is established in the Business Unit.
  • Develop and build relationships with key stakeholders.
  • Contribute to and facilitate Compliance training and awareness initiatives, with due regard to high risk areas identified and non-compliance emanating from monitoring reviews.

 

Preferred Qualification and Experience

Preferred qualifications are as follows:

Knowledge/Technical Skills/Expertise

Technical Knowledge required is as follows:

  • Build and maintain effective relations with all relevant stakeholders within the bank through formal and informal interactions – with the objective of adding value.
  • Maintain professionalism in all verbal and written communication with stakeholders.
  • Understand the business to effectively identify and manage the risk areas from a monitoring perspective.
  • Audit Background would be an added advantage

 

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