Specialist: Compliance (Market Conduct) - Menlyn at Assupol

Duties & Responsibilities: 

Contribute to the efficient and effective functioning of the Compliance Function

• Assist manager to ensure that the compliance function are in compliance with law and industry and regulatory body requirements ito Market Conduct
• Promote prevention of legal and regulatory risk in the company (TCF)
• Maintain efficient and effective operations in Compliance
• Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)

Responsible for Compliance Monitoring and Reporting

• Conduct compliance monitoring according to the approved annual compliance monitoring plan.
• Monitor compliance risk, policies and procedures within the designated region(s)
• Maintain the standardized monitoring procedure.
• Complete monitoring reports
• Provide overall compliance assistance, guidance and advice to Assupol Group of Companies
• Contribute to the completion of compliance reporting (internal and regulatory)
• Conduct monthly oversight of advice process on regional level in accordance with the agreed Standard Operating Procedures

Provide Training and Awareness on Compliance Matters

• Organize and facilitate monthly compliance training within the designated region(s)
• Create awareness in Assupol Group of Companies with law requirements (TCF)
• Inform employees about relevant compliance matters
• Develop, educate and enabling healthy and business orientated compliance culture
• Contribute to the development of compliance risk management plans (CRMP)
• Update the Exclaim system where applicable

Market Conduct responsibilities

• Co-ordination of Market Conduct function 
• Liaise between managers, team and other departments
• Follow-up on responses and reports from managers
• Manage incoming correspondence from the regulator or any other industry body
• Department communication
• Update the Market Conduct Framework as required

Market Conduct Committee

• Prepare and consolidate reports
• Prepare documentation e.g. reports, presentations and memos
• Distribute the meeting pack to committee members and other stakeholders where applicable in accordance with the Terms of Reference.
• Liaise with internal and external stakeholders and executives, directors, committee members, company secretary and others, where appropriate
• Preparation for meetings: Preparation of meeting packs (agenda, minutes and other required material)
• Take minutes at the Market Conduct meetings and distribute minutes where necessary
• Maintain compliance records pertaining to the Market Conduct function and the Market Conduct Committee

Requirements

• Formal Education
• Legal, Compliance, Risk or relevant qualification / equivalent or studying towards the qualification.
• Compliance Certificate (Advantage)
• Registered with CISA (Compliance Institute of South Africa)

Experience:

• 6-12 months in a compliance role