Senior Manager: Compliance Operations

SUMMARY:
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POSITION INFO:

Senior Manager: Compliance Operations

Role
This role will be a key member of the Compliance Team that supports in building a resilient and successful business, by:

Designing and facilitating effective and efficient compliance processes with clearly defined roles and responsibilities, that enable business to deliver exceptional client service.

Being a trusted advisor to business, advising on regulations, policies and procedures and enhancing skills through focused training and awareness programmes.

Implementing monitoring processes, providing value-add reporting and ensuring remedial action is taken for identified non-compliance.

Entrenching a strong culture in the firm that is about more than pure compliance, but also about promoting a message that everyone has a role to play in protecting the firm against risk.

The Compliance team is responsible for the “Relevant Ethical Requirements (including Independence)” and “Acceptance and Continuance of Client Relationships and Specific Engagements” components of ISQM1.

The manager role will report to the Head of Compliance and will be responsible for designing, implementing and monitoring effective and efficient processes to ensure compliance with policies relating to Acceptance and Continuance of Client Relationships and Specific Engagements component and for managing Compliance Practitioners who play a role in executing related processes.

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.

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

Core Competencies
Relationships and Collaboration

Exceptional Client Service

Engaging people

Leadership

Quality, Risk management and Operational performance