Compliance Officer - Nedbank

eg. Accountant or Accounting or Kempinski



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Job Purpose

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

Job Responsibilities

  • Contribute to a culture of transformation goals by participating in Nedbank culture building initiatives, including CSI.
  • 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 risks.
  • 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).
  • Execute the annual compliance risk-based program.

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  • 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.

People Specification

Essential Qualifications - NQF Level

  • Advanced Diplomas/National 1st Degrees

Preferred Qualification

B.Com or LLB

Essential Certifications

  • FAIS Qualification Regulatory Examinations 1 Qualification
  • Fais, Regulatory Examinations, Coaching Accreditation

Preferred Certifications

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

Type of Exposure

  • Analysing situations or data that require an in depth evaluation of multiple factors
  • Drafting reports
  • Influencing stakeholders to obtain buy-in for concepts and ideas
  • Comparing two or more sets of information Working with a group to identify alternative solutions to a problem
  • Consolidating data from various sources and identify/interpret trends
  • Identifying and interpreting regulatory risk trends
  • Managing stakeholder expectations
  • Monitoring adherence and compliance
  • Working across all risk categories
  • Presenting to senior leaders

Minimum Experience Level

  • 2 to 3 years experience as a Compliance Officer within the Insurance environment.
  • Must be a Compliance Officer registered with the FSCA
  • Must have completed the Fais RE1, and RE:5 exams

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Technical / Professional Knowledge

  • Change management
  • Cluster specific operations
  • Compliance reporting
  • Governance, Risk and Controls
  • Relevant regulatory knowledge
  • Relevant software and systems knowledge
  • Reputational risk management
  • Risk management process and frameworks
  • Stakeholder management
  • Codes of Good Governance

Behavioural Competencies

  • Adaptability
  • Applied Learning
  • Communication
  • Decision Making
  • Driving for results
  • Work Standards

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