The Compliance officer will be required to:
Provide specialist assistance to business and the Barclays Africa Group compliance officers with the management of the compliance risk attached to specified categories of regulatory requirements, the compliance framework and to implement and maintain specified compliance policies and internal controls.
Main accountabilities and approximate time split
Accountability
Time split 80%
Operational duties – 80%
Outputs:
Draft basic compliance and operational Risk Management Plans (RMP) including internal controls
Conduct Monitoring of special reviews, Post Implementation reviews and Hot Spot Reviews
Pro-actively monitor key risks in terms of allocated regulatory requirements
Maintain Compliance Risk Profile Workshop Documents in respect of allocated regulatory requirements
Develop relevant compliance tools for the allocated regulatory requirements
Perform compliance due diligence reviews on request and co-ordinate compliance due diligence reviews
Ensure commercially sound compliance guidance and support in respect of allocated regulatory requirements
Actively participate in process re-engineering, product development and other project meetings
Conduct quality assurance of compliance – documents, audit programmes and findings
Process Cross Border Services Applications
Drive specialist awareness activities and presentations to business areas and focus groups
Accountability
Time split 10%Reporting – 10%
Facilitate the submission of any Compliance Officer Reports related to allocated regulatory requirements including reviews in support thereof
Submit detailed monthly reports of activities covered to Head Central compliance
Provide input into the Legal Risk Compliance Forum (LRC) meetings
Accountability
Time split 10%
Stakeholder Management – 10%
Promote and sustain an ethical corporate culture that values responsible conduct and compliance with internal and external obligations;
Liaise with applicable Regulatory Authorities
Participate in industry-related initiatives and establish networks with key role players
Provide reports and assist with queries from stakeholders.
Technical skills / Competencies
Deciding and initiating action
Relating and networking
Presenting and communicating information
Writing and reporting
Applying expertise and technology
Analysing
Planning and organising
Following instructions and procedures
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