Compliance Officer Global Grade 11 at Barloworld Equipment

Key Accountabilities

• Manage the implementation of compliance policy and plan at regional and territory level as prescribed by the Senior Manager: Enterprise Risk and Assurance.
• Facilitate high level compliance workshops across LOBs, regions and territories and feed the results back to the Senior Manager: Enterprise Risk and Assurance.
• Monthly reporting as prescribed by the Senior Manager: Enterprise Risk and Assurance.
• Operate as part of a system in monitoring the outcomes of audits pertaining to Barloworld Equipment’s regulatory compliance and effectively resolving audit findings.
• Provide support, education and training to staff to build compliance awareness within Barloworld Equipment.
• Involvement with different functional areas and relevant internal stakeholders within Barloworld Equipment to ensure there is sound compliance in new projects and transactions.
• Assist with FICA requirements.
• Assist with PAIA applications.
• Primary Outputs
• Proactively monitor the implementation of the agreed management actions and closure of non-compliance findings.
• Preparation of monthly reports on the status of implementation of agreed management actions.
• Manage the process for escalating open findings to more senior levels of management when appropriate.
• Facilitate testing of effectiveness of controls where management has confirmed that the non-compliance findings have been closed.
• Periodically review the control self-assessment results/reports and follow-up on areas where control deficiencies have been identified.
• Conduct comparative analysis between the control assessment and the relevant audit reports and summaries feedback with recommendations to various levels of management.
• Conduct analytical assessment of the overall control environment and prepare a report for Exco, and Ethics and Compliance Committee.
• Assist in providing support, education and training to staff to build and entrench a culture management of risk and controls within the organisation

Qualification, Experience and Competencies

Minimum Required Qualification

• LLB and/or bachelor’s degree in commerce with a legal or risk-related specialisation.
• Certified Compliance Practitioner or Professional with the Compliance Institute of southern Africa and/or admission as an attorney or advocate.

Minimum Required Experience

• Minimum of three years’ experience in a compliance role.
• Proven track record in formulating and implementing compliance strategies.