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Compliance Officer (Junior)

Business:  Discovery Connect
Function:  Brokers (FAIS Accredited)
Date:  02-Oct-2020

<span style="font-family:"Open Sans Light",sans-serif">About the area

<span style="font-family:"Open Sans",sans-serif">To provide sound advice regarding legislation, regulation, industry standards, codes, guidelines and best practice to operational management/projects and business units through the application of Compliance Risk Management principles, policies, processes and procedures.

<span style="font-family:"Open Sans Light",sans-serif">Job Description

<span style="font-family:"Open Sans",sans-serif">The success of Discovery is made possible by our great people. Discovery Connect Distribution Services (DCDS) is looking for a great person to join their Discovery Compliance team as a Compliance Officer to be responsible for the Business Unit Compliance Monitoring and managing compliance risk.

<span style="font-family:"Open Sans",sans-serif">The role is for a Junior Compliance Officer that will assist the Compliance Manager in managing compliance within the business and to align to Group compliance frameworks and policies. The person will be required to understand the Call Centre compliance environment and have financial services experience.

<span style="font-family:"Open Sans Light",sans-serif">Key Outputs

<span style="font-family:"Open Sans",sans-serif">The successful candidate will be expected to perform on, but not be limited to the following key outputs:

<span style="font-family:"Open Sans",sans-serif">•Review of the compliance risk management control environment across the business;

<span style="font-family:"Open Sans",sans-serif">•Assist management with identification and evaluation of compliance exposures/regulatory breaches

<span style="font-family:"Open Sans",sans-serif">•Providing guidance to Key Individuals and Representatives to ensure compliance with legislation;

<span style="font-family:"Open Sans",sans-serif">•Assist in monitoring compliance with applicable legislation and internal requirements;

<span style="font-family:"Open Sans",sans-serif">•Identifies and assess compliance risk areas periodically and appropriately address findings through     relevant and appropriate action plans processes.

<span style="font-family:"Open Sans",sans-serif">•Support the sales managers in exercising their responsibility for oversight of compliance within their teams;

<span style="font-family:"Open Sans",sans-serif">•Remain up to date with Compliance trends, recommends and implements changes to internal company processes as required;

<span style="font-family:"Open Sans",sans-serif">•Execute all other functions related to the compliance mandate as delegated by the Compliance Manager

<span style="font-family:"Open Sans Semibold",sans-serif"><span style="font-family:"Open Sans Light",sans-serif">Personal attributes and skills

<span style="font-family:"Open Sans Semibold",sans-serif"><span style="font-family:"Open Sans Light",sans-serif">Operational:

<span style="font-family:"Open Sans",sans-serif">•Review business activities to determine compliance with applicable regulatory requirements

<span style="font-family:"Open Sans",sans-serif">•Reporting

<span style="font-family:"Open Sans",sans-serif">•Draft and produce finalised monitoring working papers and evidence for all components of work, as per standards set in the Compliance Methodology

<span style="font-family:"Open Sans",sans-serif">•Ensure that working papers are appropriate and include supporting evidence/documents

<span style="font-family:"Open Sans",sans-serif">•Agree detailed findings with management, and provide appropriate recommendations for management actions

<span style="font-family:"Open Sans",sans-serif">•Preparation of follow-up progress reports

<span style="font-family:"Open Sans",sans-serif"> <span style="font-family:"Open Sans Light",sans-serif">Competencies:

<span style="font-family:"Open Sans",sans-serif">•Strong focus on service excellence

<span style="font-family:"Open Sans",sans-serif">•Strong relationship collaboration

<span style="font-family:"Open Sans",sans-serif">•Takes initiative

<span style="font-family:"Open Sans",sans-serif">•Process and task driven

<span style="font-family:"Open Sans",sans-serif">•Attention to detail

<span style="font-family:"Open Sans",sans-serif">•Team Player

<span style="font-family:"Open Sans",sans-serif">•Behavior in alignment to the Discovery Core values

<span style="font-family:"Open Sans",sans-serif">•Uses discretion when dealing with confidential correspondence/information at all times

<span style="font-family:"Open Sans",sans-serif">•Manages time effectively

<span style="font-family:"Open Sans",sans-serif">•Works in a systematic, methodical and orderly way, within strict SLAs

<span style="font-family:"Open Sans",sans-serif">•Works productively in a pressurized environment

<span style="font-family:"Open Sans Semibold",sans-serif"><span style="font-family:"Open Sans Light",sans-serif">Qualification & Experience

<span style="font-family:"Open Sans Semibold",sans-serif"><span style="font-family:"Open Sans Light",sans-serif">Essential:

<span style="font-family:"Open Sans",sans-serif">•Relevant tertiary qualification

<span style="font-family:"Open Sans",sans-serif">•3 years compliance monitoring experience in the financial services industry

<span style="font-family:"Open Sans",sans-serif">•FAIS and LTI and STI experience

<span style="font-family:"Open Sans Semibold",sans-serif"><span style="font-family:"Open Sans Light",sans-serif">Advantageous

<span style="font-family:"Open Sans",sans-serif">•RE 1 and 5

<span style="font-family:"Open Sans",sans-serif">•Call centre compliance experience

The Company’s approved Employment Equity Plan and Targets will be considered as part of the recruitment process. As an Equal Opportunities employer, we actively encourage and welcome people with various disabilities to apply.

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