Compliance Officer

• Analyse the operational activities within a functional area to identify compliance risks and therefore ensure adherence to the relevant to the Group compliance frameworks and standards.
• Complete and maintain a Business Unit specific Regulatory Universe to effectively enable the organisations adherence to the required legislative requirements.
• Completes and contributes to compliance reports as required by various governance structures, committees and regulations, particularly regarding the compliance performance of the business unit.
• Connect Centre of Excellence execution into the business area delivery in a manner that enables effective adherence to the required frameworks, policies and standards.
• Customise and maintain generic risk management plans (RMPs) to ensure it is appropriate within the regulatory context of a specific functional area.
• Develop, track and report on the progress of the compliance monitoring plan for a functional area in order to identify significant compliance breaches, exposures and potential areas of improvement.
• Fulfil the required regulatory role as prescribed by the relevant governing bodies.
• Inform Business Line Heads, relevant CoE Heads, other Compliance Heads about regulatory inspections and act as a conduit for any significant information requests, comments and findings.
• Keep abreast of and analyse regulatory and legislative developments, applicable across the business unit in order to deliver expert advice to relevant stakeholders.
• Maintain and align the compliance manual to ensure it is appropriate for the unique regulatory requirements of a functional area.
• Proactively identify and address gaps in controls, processes and procedures as well as advise on and monitor remediation plans to address any short-comings.
• Provide advice to management, employees and relevant committees, within a functional area, regarding the regulatory universe, relevant compliance frameworks underpinning their operations and any other regulatory developments, to ensure that the area can comfortably manage compliance risks and conduct business in a compliant manner.
• Provide appropriate management information from a Compliance perspective in respect of the business area services.
• Report all material compliance issues, using the established escalation and reporting mechanisms and processes to ensure these issues are resolved swiftly and therefore minimising the impact of any financial or reputational damages.
• Review compliance frameworks, standards and procedures in the context of a functional area and advise on their customisation or amendment, where necessary.
• Review compliance training material to ensure that it is appropriate for the needs of the functional area therefore providing sufficient understanding and awareness compliance requirements within the relevant area of operations and deliver bespoke face-to-face training where required.
• Strive to influence a continual reduction in costs within the areas under control to ensure that service delivered remains cost effective and efficient.

• Educated to Degree Level.  Degree Audit Required / First Degree Business Commerce Required/ First Degree Legal Required / Post Graduate Degree Audit Preferred / Post Graduate Degree Legal Preferred
• 5-7 years' experience
• An expert in Compliance with a sound knowledge of the relevant regulatory requirements and upcoming developments applicable to a specific business area as well as a solid understanding of banking products and activities.  - Total number of years' experience 7 years
• Articulate in giving presentations; is eloquent and explains things well; projects social confidence when articulating information
• Comfortable having to persuade others; shapes opinions by being outspoken; seeks to negotiate with others
• Writes fluently when documenting facts; understands arguments logically; focuses on finding facts
• Motivates individuals by empowering them; seeks to inspire people and groups; gives encouragement to others
• Builds rapport and puts people at ease; is engaging and welcomes people; finds it easy to make friends
• Conceptual when developing ideas; applies theories to problem solving; prefers to learn by thinking and identifying underlying principles
• Conforms and adheres to rules; closely follows instructions and procedures; minimises risks by sticking to processes
• Creative in producing ideas; assumes an original approach when generating ideas; adopts radical solutions
• Lively and projects enthusiasm; is talkative in making contact; is focused on interacting and networking with people
• Willingly assumes responsibility; is definitive and stands by own decisions
• Providing Insights Is focused on continuously improving things; provides insights by identifying key issues; makes intuitive judgements

Your specialist: Debbie Amankwa

Quote job ref: 15933

Hi, I'm Debbie and I look forward to receiving your submission for this fantastic opportunity with this business.

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