Compliance Manager

Job Description

Dear Future, Compliance Manager

The role requires you to ensure there is implementation of the Group’s compliance frameworks and programmes in consultation with business ensure conformance and adherence with regulations and delivers through a team of Compliance resources/specialists. Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards. Perform regular audits, design control systems and help to design and implement company policies.

Are You Someone Who Can

• Build collaborative relationships across teams and functional lines to enhance work delivery, innovation, and compliance culture.
• Deliver customer experience excellence in line with organisational values, service standards, and FAIS Treating Customers Fairly (TCF) principles.
• Provide accurate and reliable business intelligence to support informed decision-making, with a focus on regulatory compliance trends and risk indicators.
• Accumulate and analyse information to support compliance reporting, decision-making, and identification of improvement opportunities.
• Implement, monitor, and control business processes in accordance with quality standards, internal policies, and FAIS compliance and governance requirements.
• Ensure alignment of end-to-end processes with the customer journey and FAIS regulatory expectations.
• Research and consult on opportunities to enhance compliance through technology and platform enablement.
• Review and streamline processes to improve efficiency while ensuring adherence to FAIS and related legislation.
• Monitor customer feedback and regulatory developments to align processes with compliance and service excellence.
• Interpret and apply FAIS legislation, General Code of Conduct, and Fit and Proper Requirements using a risk-based approach.
• Identify and risk-rate applicable laws and regulations for responsible business units.
• Develop and maintain a Compliance Legislative Universe and Compliance Risk Management Plans (CRMPs) for FAIS-related legislation.
• Compile and execute compliance monitoring plans, including methodology and frequency, in line with FSCA expectations.
• Draft monitoring reports and escalate compliance risks and incidents in accordance with FAIS incident reporting protocols.
• Provide practical guidance to business units on the implementation of FAIS and related regulatory requirements.
• Advise management on systems, policies, and controls to ensure compliance with the FAIS Act and subordinate legislation.
• Communicate legislative developments and FSCA notices to relevant stakeholders.
• Promote a culture of compliance through training, awareness campaigns, and participation in FAIS-aligned initiatives.
• Deliver training on FAIS regulatory requirements, including the General Code of Conduct, Fit and Proper Requirements, and TCF principles.
• Ensure compliance with statutory, legislative, and governance requirements, including the FAIS Act, FSR Act, and AML/KYC regulations.
• Maintain up-to-date knowledge of FAIS amendments, FSCA notices, and industry best practices.
• Ensure systems and procedures reflect FAIS compliance requirements and are updated in response to audit findings and regulatory changes.
• Understand and apply risk management principles in the context of FAIS compliance.
• Contribute to the development of governance and compliance procedures, identifying and mitigating FAIS-related risks.
• Participate in specialist risk and compliance forums, including those focused on FAIS and financial services regulation.
• Support the development of tactical strategies aligned with the organisation’s FAIS compliance objectives.
• Lead or support the implementation of the organisation’s FAIS compliance programme.
• Maintain awareness of the FAIS regulatory framework, including the General Code of Conduct and Fit and Proper Requirements.
• Conduct ongoing consultation with operational managers to ensure compliance with FAIS and related legislation.
• Perform statistical sampling and monitoring of FAIS-related activities and documentation.
• May supervise teams responsible for AML/KYC, FATCA, and AEOI compliance, ensuring alignment with FAIS obligations.
• Analyse KYC documentation and liaise with clients and intermediaries to ensure compliance with FAIS and FICA.
• Lead the AML/KYC team, ensuring operational efficiency and regulatory compliance.
• Foster collaborative relationships across compliance and business units.
• Encourage teamwork, inclusivity, and a shared commitment to FAIS compliance.
• Participate in development activities to enhance FAIS knowledge and professional growth.
  
  

You Will Be An Ideal Candidate If You

• Minimum bachelor’s degree in compliance, risk management, legal or similar
• Experience with dealing with multi-level stakeholders across a large group
• Have 5 to 7 years’ experience in compliance with FAIS specialisation
  
  

You Will Have Access To

• Opportunities to network and collaborate
• A challenging working environment
• Opportunities to innovate
  
  

We Can Be a Match If You Are

• Adaptable and curious
• Have a proven successful track record.
• Thrive in a collaborative environment
  
  

#Post

#Fnb

Are you interested to take the step? We look forward to engaging with you

All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.

Job Details

Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.

05/06/25

All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.