Compliance Operations Manager (CEAR) at BDO South Africa

Main Duties and Responsibilities

• Manage design and implementation of projects and initiatives, policies and processes, systems/ tools relating to Acceptance and Continuance of Client Relationships and Specific Engagements. 
• Provide training, advice and support to partners, directors and professionals on Client and Engagement Acceptance, Ethics, Independence & Conflicts of Interest policies, processes, procedures, and systems.
• Operational management and reporting of effectiveness and efficiency of all steps on the client and engagement acceptance process. Process steps include reputational checks, independence and conflict considerations, risk assessment process and escalations to relevant role players where required. 
• Manage team of Compliance Practitioners responsible for the client an engagement acceptance processes and provide reporting to Head of Compliance.
• Work closely with Independence and Conflicts colleagues to ensure all relevant assessments and clearances are obtained in line with the overall effectiveness and efficiency process objective.
• Identify risks related quality objectives, assess current controls to determine if appropriate and design controls to further mitigate any identified risks.
• Perform reviews to monitor compliance to policies and procedures and provide input into related risks.
• Liaise with business role players to ensure pro-active, effective and efficient acceptance and re-acceptance processes in line with relevant policies.   
• Key link between Compliance and the Digital Solutions team to ensure effective and efficient automation solutions. 
• Engage with other stakeholders in the firm to ensure a proper understanding and buy-in for defined policies and processes.
• Prepare reporting for Governance Bodies and Committees.
• Identify improvements to existing processes.
• Stakeholder management and engagement.

Requirements

Qualifications/Recognition of Prior Learning equivalent

• Matric
• A qualification in accounting, risk, finance, business, external or internal audit

Work Experience

• Experience in working with IT in design and rollout of systems.
• Proven experience in a risk, ethics, conflicts, or independence role within an audit firm or similar financial services setting.
• Operational responsibilities for process execution

Knowledge

• Intermediate Excel, Word and PowerPoint.
• Strong written and spoken English language skills

Behavioural Competencies

• Strong analytical skills and the ability to assess complex situations to make sound ethical decisions.
• Excellent communication and interpersonal skills to effectively engage with team members and clients on ethics-related matters.
• Ability to maintain confidentiality and handle sensitive information with discretion.
• Demonstrated leadership capabilities and a proactive approach to problem-solving.
• Good interpersonal and organisational skills
• Strong spoken and written communication skills
• Ability to work independently and collaborate with team members
• A proactive approach to continuous improvement 
• Project Management

BDO Core Competencies

• Relationships and Collaboration
• Exceptional Client Service
• Engaging people
• Leadership
• Quality, Risk management and Operational performance