Reporting to the Chief Risk Officer, the incumbent will establish and maintain mechanisms and systems of Internal control to assist UAP OldMutual in meeting Legal, regulatory and supervisory obligations and to promote and sustain a sound compliance culture by ensuring legal and regulatory compliance implications are integrated into material strategic, financial and operational decisions.
Minimum Requirements
QUALIFICATIONS & EXPERIENCE
Relevant Business related degree. Masters is an added advantage
Over seven (7) years of hands on regulatory compliance experience in the Financial Services Industry
Professionsl qualifications in compliance
COMPETENCIES
Interpersonal skills
Ability to have a positive impact on people
Proactive and can anticipate the needs of his/her customers
Excellent communication skills, both written and verbal
confident and assertive
ability to interract at all level
Leadership Skills
Ability to structure responsibilities, tasks and project management to eliminate wasted time and efforts
Ability to manage multiple projects and competing priorities without missing deadlines
Maintains a high level of attention to detail and is highly organized
Energetic and positive attitude with a willingness to learn
Ability to maintain high service standards and problem solve effectively when faced with challenges
Effective team work planning
Effective coaching and training of the team
Rigorous team performance management
Job Specification
Establish and maintain an effective regulatory compliance framework
Ensure an effective regulatory compliance management system is in place
Implement and maintain compliance risk indicators and performance measures for monitoring the levels of compliance risk
Implement and maintain adequate compliance governance structures including written policies, procedures, processes, systems and methodologies
Oversee compliance control adequacy and effectiveness, mitigating management actions and exposure versus appetite limits and identify operating model deficiencies and capability gaps
Meet regulatory obligations applicable to the function
Advise the Board and Managing Excecutives on Compliance culture.
Advise and challenge the relevant Board and Managing Executives from compliance perspective on strategic decision making and business planning objectives.
Develop and implement an annual functional operational plan and advise the Business on the design and implementation of compliance controls and related mitigation processes, projects and change programs.
Ensure employees undergo training on regulatory compliance obligations and the UAP Old Mutual Code of Ethics and have access to confidential mechanisms to report compliance and ethical breaches.
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