To act as the subject matter expert to maintain, support and monitor the implementation of the relevant components of Enterprise risk management and Compliance to ensure that they are fully complied to.
1. Job Objectives
- To assist Managing Director in driving and supporting the implementation of all risk and compliance frameworks and policies within the business and to provide oversight and monitoring of risk and compliance.
- To maintain networks and relationships with internal and external stakeholders in order to achieve and promote the development of Enterprise Risk Management and Compliance.
- To analyse and manage data quality within the relevant risk and compliance systems including reports, and to drive actions to improve data quality.
- To assist in the development of standards, procedures, guidelines, templates to support the implementation of Risk and Compliance policies and frameworks.
- To ensure that adherence to statutory, supervisory and regulatory requirements are monitored and reported on to the relevant stakeholders.
- To continuously and proactively liase, advise, communicate, and provide risk and compliance support to relevant internal and external stakeholders to assist and support the meeting of statutory, supervisory and regulatory requirements.
- To prepare and consolidate compliance and risk reports to inform management decision making.
- To assist with the implementation of business continuity.
- To assist Managing Director in ensuring that a compliance and risk culture is embedded within the organisation by means of appropriate training and development, and awareness initiatives.
- To assist with ensuring that all methodologies are in line with best practices, both nationally and internationally.
- To assist with insuring that required legislation is implemented in the business by means of relevant processes and controls.
- To support the business in identifying, assessing, treating, monitoring and reporting of all risks in terms of controlled self-assessments.
- To support the business in identifying root causes of control breakdowns in terms of both risk and compliance.
- Convening board meetings as well as shareholder meetings and regular management Committee meetings
- Compiling and circulating agenda, board/committee packs, attending meetings, taking and preparing minutes and resolutions as well as maintaining statutory records for companies.
- Ensure that the Board is run in terms of King III principles.
- Prepare statutory returns to the regulators and resolutions for companies
- Ensure compliance with legislation and regulatory requirements as well as Best International Practices on Corporate Governance
- Ensure the lodging of correct information and forms with Regulators
- Responsibility for other corporate meetings
- Attend to shareholder queries and act as liaison officer between the shareholders and Transfer Secretaries
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- Assist with the preparation of the annual financial statements for the company.
- Establish & maintain healthy relationship with all Regulators.
- Get Board approval of all Policies required for the day to day running of the business in particular Human Resources policies
- Provide support to the Board by arranging training for the Board Members
2. Job Specific Requirements
· Financial services industry; Intermediate; Essential
· Industry knowledge specific to area of accountability; Intermediate; Essential
· Legislation and regulations pertaining to risk and compliance – local and international; Intermediate; Essential
· Working knowledge of principles of project management; Intermediate; Desirable
· Understanding of processes and controls; Intermediate; Essential
Job Related Skills:
· Interpersonal skills (incl. conflict handling, negotiating, etc.); Intermediate; Essential
· Analytical and problem solving; Intermediate; Essential
· Computer literacy (MS Suite); Intermediate; Essential
· Communication (written, oral); Intermediate; Essential
· Presentation skills; Intermediate; Essential
· Planning and organising; Intermediate; Essential
· Networking skills; Intermediate; Essential
· Project management skills ; Intermediate; Essential
· Experience related to risk and compliance in a financial services environment: 5+ years: Essential
· Specific exposure to the long-term insurance industry; Desirable
· B Degree in Finance or Risk related course; Essential
· A Legal background will be a strong recommendation; Desirable
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