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POSITION : Compliance Officer (Risk and Reputation)
Role Summary
- The successful candidate would, among other things, oversee and manage all aspects of regulatory compliance against a detailed checklist and annual plan to ensure ongoing regulatory compliance, including registrations, licensing and regular submissions or reporting to regulators, where required.
Responsibilities
The ideal candidate will be required to:
- Develop, initiate, maintain, and revise policies and procedures for the general operation of the compliance programme and its related activities to prevent illegal, unethical, and/or improper conduct
- Manage day-to-day operation of the compliance programme
- Develop and periodically review and update standards of conduct to ensure continuing currency and relevance in providing guidance to management
- Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution. In addition, consult with the corporate attorney as required to resolve difficult legal compliance issues
- Respond to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develop and oversees a system for uniform handling of such violations
- Act as an independent review and evaluation mechanism to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved
- Monitor and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and identify trends
- Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
- Provide reports on a regular basis, and as directed or requested, to keep the Risk and Reputation Leader informed of the operation and progress of compliance efforts
- Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required
- Institute and maintain an effective compliance communication programme for the organization, including promoting:
- Use of the Compliance Hotline
- Heightened awareness of Standards of Conduct, and
- Understanding of new and existing compliance issues and related policies and procedures
- Work with the Talent and Transformation team and others as appropriate to develop an effective compliance training programme, including appropriate introductory training for new employees as well as ongoing training for all employees, Managers, Partners and Directors
- Monitor the performance of the Compliance Programme and related activities on a continuing basis, taking appropriate steps to improve its effectiveness.
Qualification/Role Specific Competencies/Soft Skills
- Possess an LL.B & B.L in Law with a minimum of a second class upper
- 3- 4 years cognate experience
- High level of confidentiality
- Ability to multitask, prioritize and pay keen attention to details
- Team player with good inter-personal relations
- Ability to identify and resolve problems
- Effective decision making skills
- Proficiency in the use of MS-office tools i.e. Excel, Word and Power-point
- Self-motivated and able to work with minimal supervision, proactively seeking guidance, clarification and feedback
- Sound written and oral communication
- Drive and resilience
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