Compliance Officer - Investments and Asset Management

To enable the execution of Compliance Risk Management processes and activities within Investments and Asset Management, to ensure that the area is undertaken in a compliant manner to avoid operational losses, fines, penalties or reputational damage to the organisation and enable the competitive advantage of the organisation.

Type of Qualification: First Degree in Audit, Business Commerce or Legal 

Experience Required
Business Enablement
Compliance

• 5-7 years - The role requires an expert in Compliance with a sound knowledge of the relevant regulatory requirements and upcoming developments applicable to a specific business area as well as a solid understading of banking products and activities. 

Behavioural Competencies:

• Articulating Information
• Convincing People
• Documenting Facts
• Empowering Individuals
• Establishing Rapport
• Exploring Possibilities
• Following Procedures
• Generating Ideas
• Interacting with People
• Making Decisions
• Providing Insights
• Upholding Standards

Technical Competencies:

• Evaluation of Internal Controls
• Financial Acumen
• Financial Industry Regulatory Framework
• Legal Compliance
• Process Governance
• Risk Awareness