Compliance Officer

Job Classification

Job Family

Career Stream

Leadership Pipeline

FAIS Affected

Job Purpose

• To monitor and provide assurance on the adherence to compliance practices in client facing clusters to ensure compliance risks are managed and reported across Nedbank.

Job Responsibilities

• 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
• Execute the annual compliance risk-based program
• Provide input, review and ensure accurate reporting and articulation of compliance
• Provide guidance in the completion of subsidiary compliance risk monitoring programs
• 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 risk
• Engage with stakeholders formally through determining scope of work, understanding and identifying client needs
• Develop collaborative relationship with the Compliance Institute of South Africa (CISA)
• Contribute to a culture of transformation goals by participating in Nedbank culture building initiatives, including CSI.

People Specification

Essential Qualifications - NQF Level

Preferred Qualification

Essential Certifications

Preferred Certifications

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

Minimum Experience Level

Technical / Professional Knowledge

Behavioural Competencies