Compliance Specialist: Landside at Transnet

• To perform all the required specialist compliance functions including, but not limited to Regulatory Analysis, Training, Compliance Monitoring and Compliance Risk Management in respect of the TNPA’s landside activities and related functions within TNPA as indicated in the Position Outputs
• To develop and review TNPA Compliance Control Plans for applicable landside TNPA legislation and to assist the Senior Manager: Compliance with all compliance reporting to relevant governance structures and Transnet Group.
• To undertake to keep all relevant governance structures informed of changes in landside legislation that may have an impact on TNPA and to assist to train ports on the legislative requirements and facilitate the process of developing controls plans.
• To track, facilitate and review the development of TNPA Standard Operating Procedures (“SOP”), create awareness on the required SOP template and manage the internal upload onto the Intranet
• To provide reasonable assurance, through compliance monitoring and related activities, that control frameworks are adequate and effective, and accurately report findings to relevant governance structures.
• To facilitate and monitor the implementation of the TNPA B-BBEE Strategy.
• To provide support and assistance to the Senior Manager: Compliance.
• To assist management in discharging their responsibility to comply with applicable landside regulatory requirements.

Position outputs:
STRATEGY:

• Develop an annual Landside TNPA Compliance Risk Management Plan, Regulatory Training and Communication Plan, Monitoring Plan and Reporting Strategy in consultation with the Senior Manager: Compliance and other relevant stakeholder if required (including, but not limited to Internal Control, Risk, Transnet Internal Audit and Group Compliance).
• Track the implementation of progress against the Landside annual Compliance Risk Management Plan, Regulatory Training and Communication Plan, Monitoring Plan and Reporting Strategy, and timeously advise the Senior Manager: Compliance of any deviations and areas for improvement required.
• Provide strategic input into organisational monitoring and related strategies and plans (i.e. the concept of “Integrated Assurance”), with on-going communication and consultation with stakeholders in this regard.
• Provide strategic support in regulatory analysis and ensure open and on-going communication and consultation with stakeholders in this regard.

PLANNING:

• Develop landside compliance monitoring and related activities scoping documents and annexures in consultation with the Senior Manager: Compliance and internal stakeholders and obtain sign-off where required.

REGULATORY ANALYSIS

• Develop where required and maintain the TNPA Regulatory and Bills Universe and communicate to stakeholders as it relates to Landside compliance.
• Maintain and communicate the document relating to TNPA Statutory Reporting Requirements and Responsibilities.
• Provide technical interpretive analysis on communicated new and proposed amendments to regulatory requirements, and where required, request comments from internal stakeholders, and oversee submission of comments to the Transnet
• Corporate Centre upon sign-off from internal stakeholders and the final sign off from the Senior Manager: Compliance Officer and the Executive Manager: Legal & Compliance/ GM: Risk & Regulatory.
• Issue communications on landside regulatory developments to internal stakeholders.
• Analyse and interpret landside regulatory requirements for inclusion in compliance control frameworks, as well as for compliance monitoring requirements where required.
• Conduct regulatory research for internal stakeholders where required.
• Prepare opinions to internal stakeholders on landside regulatory related matters on ad hoc basis and when required.
• Conduct training workshops on regulatory requirements to managers that relates to their operational environment in the ports.
• Prepare comprehensive training packs for attendees to training that will advise on the regulatory analysis and requirements in a practically format that relates to operations.

COMPLIANCE RISK MANAGEMENT EXECUTION AND TRACKING:

• Develop and Review Compliance Control Plans relating to landside legislations.
• Compliance risk management activities should reflect the Compliance Risk Management Methodology Principle and Standards as defined in the Transnet Compliance Risk Management Framework.
• Conduct compliance risk management activities in accordance with the annual compliance risk management strategy and plan, to be conducted as defined in the Transnet Compliance Risk Management Guide (including, but not limited to compliance risk assessments and design of compliance control plans), and in accordance with the methodology included in the said Guide.
• Electronically track the implementation of compliance control plans, and report exceptions to management and governance structures on a regular basis.

EXECUTION:

• Compliance monitoring in relation to landside activities should reflect the Compliance Monitoring & Review Standards as defined in the Transnet Compliance Risk Management Framework.
• Conduct compliance monitoring and related activities in accordance with the annual landside compliance monitoring plan and related activities strategy and plan, as well as the approved monitoring and related activities scoping documents and annexures.
• Compliance monitoring and related activities are to be conducted as defined in the Transnet Compliance Monitoring Guide (including, but not limited to compliance adequacy and effectiveness reviews, control self-assessments, compliance exposures, statutory reporting etc.), and in accordance with the compliance monitoring methodology included in the said Guide.

TRACK AND REVIEW LANDSIDE SOP DEVELOPMENT

• Create awareness about SOP templates relating to landside compliance
• Facilitate the annual review of SOP’s
• Manage the upload of SOP’s on the TNPA intranet
• Facilitate Training on SOP’s

REPORTING & TRACKING:

• Compliance reporting and monitoring and related activity reporting should reflect the Transnet Compliance Reporting
• Principles and Standards as defined in the Transnet Compliance Risk Management Framework.
• Draft compliance monitoring and related activity reports for landside in accordance with the scoping documents and annexures, as well as findings, consult with and obtain sign-off from internal stakeholders where required.
• Ensure timeous reporting of landside regulatory updates and compliance monitoring and related reports to the Senior Manager: Compliance for inclusion in the Riskco pack.
• Track new regulatory developments and commentary provided and provide Senior Manager: Compliance with the latest up to date information to report to TNPA EXCO if required and risks identified from new developments are high.
• Track the commentary received and submission of TNPA commentary to Group Risk & Regulatory.
• Draft compliance monitoring and related reports for timeous inclusion in submissions to relevant governance structures.
• Track the implementation of recommendations and agreed actions, and report exceptions to management and governance structures on a monthly basis.
• Facilitate continuous organisational control improvement to new landside legislative requirements, and therefore improved levels of compliance, through ongoing compliance monitoring activities, quality of advice, and appropriate reporting to management and governance structures.
• Maintain landside regulatory analysis, compliance risk management, compliance monitoring and related activity records in accordance with the Compliance Record Keeping Principles and Standards as defined in the Transnet Compliance Risk Management Framework.
• Delivery against agreed landside regulatory analysis, compliance risk management and compliance monitoring and related activity performance measures.
• Keep up to date with compliance management best practices and research on landside regulatory analysis, compliance risk management, compliance monitoring and related activity best practice and research developments and advise stakeholders appropriately.
• Develop and deliver comprehensive regulatory analysis, training and awareness in accordance with the Compliance Training and Awareness Principles and Standards as defined in the Transnet Compliance Risk Management Framework.
• Maintain portfolio records in accordance with organisational policies for record keeping as per the Transnet Compliance Risk Management Framework
• Assist and contribute to the development, management and implementation of any compliance projects, including representation on co-opted projects such as B-BBEE
• Support Management in the annual BBBEE verification
• Perform secretarial function to the monthly BBBEE Steerco
• Support the compilation of the monthly BBBEE EXCO Report
• Support the Senior Manager: Compliance with any compliance or BBBEE related functions where assistance may be required

Qualifications & Experience:

• a legal related qualification is required. (LLB Degree)
• Post Graduate Diploma in Compliance management
• Code 8 Driver’s Licence
• At least 7 years' experience, of which 2 years must in regulatory monitoring role, and 5 years in a compliance management function within a multi-disciplinary environment.

Skills Required:

• Planning and organising skills.
• Attention to detail.
• Analytical skills.
• Strong written and verbal communication skills.
• Ability to analyse and interpret technical and legal documents.
• Ability to simplify complex and technical material.
• Ability to analyse and interpret legislation, regulations.
• Project management skills.
• Ability to write reports and business correspondence.
• Work independently as well as part of a team.
• Ability to work under pressure and meet deadlines.
• Strong interpersonal skills.
• Sound time management.
• Strong presentation skills.
• Strong MS Office Skills

Knowledge:

• Knowledge of governance best practices.
• In-depth knowledge of applicable legislation, regulations and frameworks.
• Enterprise risk management concepts and frameworks.
• Knowledge of training methodologies.

Competencies:
Competencies Required:

• Anchoring the Transnet Way
• Is a conceptual and analytical thinker.
• Is results focused.
• Is courageous.
• Is resilient.
• Is emotionally intelligent.
• Is an excellent communicator.
• Leading the Transnet Way
• Is visionary and inspiring.
• Is strategic.
• Is collaborative.
• Is innovative and entrepreneurial.
• Has impact and influence.
• Is a change agent.
• Managing the Transnet Way
• Optimises business performance.
• Manages finances.
• Manages people & teams.
• Delights customers.
• Manages programs, projects & contracts.
• Manages risk and compliance.
• Sustaining the Transnet Way
• Empowers and develops others.
• Is inquisitive and develops self.
• Manages and shares information.
• Role models the culture and values.
• Embraces diversity.
• Have the right skills.

Other Requirements:

• Applicant must be willing to travel and work extended hours if required