ROLE
DESCRIPTION
The Compliance Learning and Development Manager (“L&D Manager”) is primarily responsible to manage the team members and the deliverables for the Compliance Learning and Development team (“Compliance L&D Team”). The L&D Manager is primarily responsible for:
- Supporting and supervising the Compliance L&D Team
- Learning: working with and directing the Compliance L&D Team to ensure that the team’s, departments and firm’s Compliance learning needs are met. This includes new joiners of the Compliance team, PA’s and Partners, and intra-department training as it extends to Compliance awareness.
- Development: driving any initiatives and projects that promote the learning and effective working in the department. This includes, but is not limited to, participation in firm-wide IT deployments and enhancements.
- Projects: any projects or tasks that don’t currently have an owner and that are not classified under New Business Intake or Ongoing Monitoring should be the responsibility of the L&D Manager. This includes projects and programmes initiated by the Johannesburg GBSC.
The L&D Manager is responsible to lead and coordinate the above efforts and outcomes. In addition, the L&D Manager is responsible to manage the team member(s) (“L&D Specialists) of the team, which includes all general duties of staff management.
The Manager will be working closely with and reporting regularly to Head of CDD Compliance.
A large portion of the L&D Manager’s role is to be proactive in unlocking the most value for the team with regards to learning and development. Much of this cannot be pre-defined and requires the L&D Manager to identify areas of improvements across the department.
KEY RESPONSIBILITIES
STAFF MANAGEMENT:
- The L&D Manager is responsible to manage performance of reporting team members including but not limited to timekeeping queries, overtime, monthly output, annual reviews and general engagement and deportment in the workplace.
- Deal with any timekeeping queries of team members, such as team members requiring to work outside standard working hours or agile days.
- Monitor output and drive performance of team members. This includes providing sufficient support and additional training where required and also addressing any performance issues with team members.
TRAINING AND KNOWLEDGE MATERIAL:
The L&D Manager is responsible for supporting the L&D team with regards to the below responsibilities:
- Conduct on-boarding training of new joiners to the teams. New joiners would mostly join as Compliance Assistants, but the Specialist may also be required to facilitate training of more senior roles.
- Conduct transition training if a member of any team is promoted to a more senior role.
- Draft and continuously update Standard Operating Procedures or training manuals.
- Review and continuously update all knowledge material related content on HL Global/Peloton.
- Hold regular briefing and training meetings to offer any training updates.
- Lead induction training for new PAs, Partners and other joiners of the firm globally.
- Keep up to date with any regulatory or process changes relating to Compliance and promptly communicate these to the team.
- Expanding the information and knowledge material that is available to the Department.
- Responsible for implementing a wide variety of reports that act as controls to ensure that the firm meet its compliance obligations.
- Administer user access of team members to all databases.
ADVISORY AND PROJECTS:
- An immediate and key area of responsibility of the L&D Manager is to assist the department in the successful deployment of the upgrade to the firm’s intake software.
- Working closely with Department Managers or Directors to correct incorrect Compliance processes, make process improvements and advise on possible solutions to areas of non-compliance.
- Own and lead administrative projects and responsible for the outcome.
- Prepare and deliver presentations to the Department or other stakeholders on a variety of topics.
- Provide insights and guidance to Department Managers by contributing to and participating in discussions regarding potential procedural improvements or ensuring that team members work more effectively.
- Review New Business Intake forms submitted when possible.
- Collaborate and work with HR on any Compliance specific training initiatives.
THE CANDIDATE REQUIREMENTS PROFILE
EDUCATION
- Grade 12 or equivalent (NQF 4) – Required
- BCom, LLB or equivalent (NQF 6/7) – Required.
- Post Graduate Qualification (NQF 7) – Preferred.
- Registered Skills Development Facilitator-Preferred
MENTAL & ENVIRONMENTAL/LEGAL REQUIREMENTS:
- Necessary soft and interpersonal skills to work one on one with a more junior team member and giving constructive feedback on their work. Must be able to build constructive relationships with new team members and ensure that they receive the necessary training and feedback to upskill them in their role.
- Must have leadership skills and be an exemplary team member.
- Must demonstrate an excellent attitude and work with enthusiasm.
- Must be able to handle pressure, setbacks and a high level of stress.
- Exceptional work quality and output
- Excellent communication skills
- Must be able to deliver on tasks independently and in accordance with deadlines.
- Must be able to maintain strict adherence to confidentiality policies.
- Must have a clear understanding of the organization.
- Proven initiative and strong work ethic
- Reliable and dependable
- Must have a clear criminal record.
EXPERIENCE:
- 5+ years Compliance/AML experience is required.
- 3+ years Training/Learning and Development experience is required, including experience in Conflicts.
- 1-2 years Management experience is preferred.
SYSTEM SKILLS:
- Microsoft Office – Advanced.
KNOWLEDGE AND SKILLS:
- Knowledge of a centralized/ shared services environment
- Strong presentation skills
- Excellent oral and written communication skills
- Strong organizational, administrative and time management skills
- Strong leadership and communication skills with a personality to excel and motivate others to succeed.
- Well-developed analytical skills
- Exemplary behavior in the team specifically relating to performance, diligence, teamwork and timekeeping.
- Ability to multi-task and work well under tight deadlines
- Proactive, hardworking and responsible
- Ensures their role and contribution of the team meets business needs.
- Ability to manage and lead team members based in other offices.
- Ability to transfer knowledge through various training methods.
BEHAVIOURAL COMPETENCIES:
- Ability to handle queries efficiently with diplomacy and tact.
- Ability to provide and also follow instructions precisely.
- Adapting and responding to change
- Strong work ethic with an inherent sense of urgency
- Delivering results and meeting business expectations
- Working with others and delivering through others
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