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Position:        Compliance Manager

Job No:           202471

Location:       Rosebank

Salary:            R 72 000 P/M dependent upon experience


Compliance Manager

The Compliance Manager (CM) is responsible for driving and overseeing compliance within the organisation to ensure that financial and operational procedures and personal conduct within the organisation comply with relevant and applicable laws, regulations and contractual agreements. This position involves informing and executing on the compliance strategy as well as taking direct accountability for the efficient and effective execution of day-to-day operational compliance activities. This is an excellent opportunity for an individual to make their mark within the organisation whilst supporting the Group Compliance Manager to achieve the compliance objectives and
partnering with business to ensure compliance.

Core skills and knowledge
Qualification and Experience

  • Legal, Risk or Compliance related degree or equivalent.

  • CISA membership would be advantageous.

  • 3-5+ Years experience in a Compliance environment and/ or managing/ leading a Compliance team preferably in the Financial Services sector (Banking, Fintech).

  • Previous FICA or AML Compliance Officer experience required. Sarbanes-Oxley (SOX) Act and Insurance compliance experience is advantageous.

Key Responsibilities


  • Ensure compliance with the NCA, FAIS, FICA, POPIA and any other applicable legislation.

  • Roll-out and monitor the implementation of the Risk Management and Compliance (RMCP) program and provide input into the same as part of the enhancement process.

  • Ensure efficient and effective running of the daily compliance operational activities.

  • Assist in communicating key aspects of the compliance policies and frameworks to business stakeholders.

  • Take ownership for the compilation and review of compliance policies and procedures.

  • Monitor and execute on the outputs of the compliance dashboards.

  • Review new/ existing processes and products to identify and mitigate compliance risk and sign-off on the same.

  • Be proactive and monitor changes to the regulatory landscape and provide the necessary compliance advice and guidance to business partners.

  • Assist in the design, development and delivery of compliance awareness and training interventions.

  • Efficiently attend to requests from our sponsoring bank and build good relationships with your corresponding counterparts.

  • Ensure that the fraud and ethics hotline queries are followed up on timeously and receive sufficient resolution.

  • Assist to produce/ contribute to the Compliance quarterly board reporting.

  • Ensure that any outstanding compliance allocated internal audit actions are closed within deadline; and

  • Assist with the annual SOX process - perform and review control adequacy and effectiveness testing, compile written reports on findings, and liaise with and report to Senior Management.


Key Stakeholders:

  • Senior and executive management

  • Audit Committee

  • The organisation's sponsoring bank

  • Regulatory /Industry Bodies viz. the NCR, FIC, FSCA, BASA and other relevant regulators

Behaviour Required

  • Can operate both at a strategic and operational level.

  • Proactive individual who is a self-starter and gets things done.

  • An individual who takes a pragmatic approach to Compliance and is business-minded.

  • Has the ability to work well with people and collaborate to develop practical solutions to compliance related problems.

  • Possesses good stakeholder management ability and can develop relationships across senior and junior management levels.

  • Good written and verbal communication skills.

  • Passionate about compliance.

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