Regulatory Compliance Manager

BSMG Investments • Other • Umhlanga, KwaZulu-Natal, South Africa • 18h ago

· Guide and advise Business and management on Compliance requirements (POPI, FAIS, TCF, FIC Act, FATCA, CRS, EXCON Regs, Conduct Standards).

· Updating of Policy & Procedure Manuals due to regulatory and operational changes in terms of key legislation affecting the Bank.

· Conduct compliance training as per the compliance training plan. Update training manuals in line with regulatory changes and policy requirements.

· Assist in compiling a compliance monitoring plan and reporting against plan.

· Assist in compiling an annual Compliance Activity Plan for approval by the BoD.

· Assist in reviewing the Legislative Risk Matrix on an annual basis and submit to the BoD.

· Conduct compliance monitoring and testing, including providing recommendations and actions plans

· Develop and update Compliance Risk Management Plans.

· Assist in submitting FATCA and CRS reports to the SARS including implementation of new reporting requirements.

· Assist in managing and overseeing the REKYC and Enhanced Due Diligence (EDD) processes

· Assist in preparing and submitting all required reports to the Group and Audit Committee on a quarterly basis.

· Regularly review the Compliance Monitor’s functioning, quality of commentary and timeliness of clearing, including conducting investigations and filing of reports where required.

· Assist in providing guidance on new product & delivery channel development.

· Assist in filing of regulatory reports to the respective regulators

Requirements

· 5-7 years’ experience in a compliance and regulatory position in a bank

· LLB qualification/or similar and other compliance-related courses/qualifications

· In-depth knowledge of FIC Act, POPI, FAIS, GDPR, EXCON Regulations, Conduct Standards and other applicable legislation impacting Banks

Benefits

Standard Benefits

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