Compliance Specialist

Compliance Specialist


Compliance Specialist

Details: VISA FREE

Location: Canada & USA
ate:  08-Jan-2023


Requisition Details & Talent Acquisition Contact

REQ 120965- Thomas David


Group Compliance 

Career Stream

Regulatory Compliance

Leadership Pipeline

Manage Self: Professional


Compliance Specialist

Job Purpose

To consult on and advise the business area regarding relevant domestic and international legislation; compliance and governance to ensure abidance to relevant codes; regulations and rules thereby minimising risk to and protecting the reputation of Green Finance

Job Responsibilities

  • Advise business on best practice for compliance by ensuring the business is educated on the compliance culture and by creating awareness around compliance implication of daily duties.
  • Support the central function by assisting in developing of policies, procedures, frameworks and tools with specific focus on relevant risk legislation, for the benefit of the larger organisation.
  • Define governance frameworks and ensure good governance practice.
  • Ensure business committees operate according to required business governance standards through regular engagement.
  • Assess committees adherence to the governance requirements.
  • Ensure compliance standards are met and risks are mitigated.
  • Identify, define and agree on the regulatory universe applicable for each relevant Business Unit, mitigating risks.
  • Conduct compliance risk and control assessments (CRA's).
  • Mitigate risk and applicability to business.
  • Ensure that compliance risk is adequately addressed.
  • Test whether the business control is effective and adequate and ensure that business policies contain the right content addressing legislative requirements.
  • Advise business of changes and identify potential impact of these changes on the business.
  • Influence the enhancement of business processes and methodologies.
  • Prevent compliance breaches and reputational risk from occurring, which could result in financial penalties.
  • Ensure awareness of business compliance status.
  • Promote and facilitate cross Cluster engagement, manage and improve business efficiencies.
  • Engage with stakeholders on findings of compliance risk and control assessments.
  • Enable management to make informed decisions and prevent compliance breeches.
  • Ensure that stakeholder relationships are effectively managed.
  • Obtain buy-in for developing new and/or enhanced processes that will improve the functioning of stakeholders' businesses.
  • Stay abreast of developments in field of expertise, ensuring personal and professional growth.
  • Understand and embrace the Green Finance vision and values, leading by example.
  • Ensure upskilling and effective handover to relevant responsible person.
  • Manage performance through training, development and addressing poor performance via HR channels.
  • Educate self-regarding business, through engagement, meetings, procedures and policy awareness.
  • Contribute to a culture of transformation by participating in Green Finance culture building initiatives, business strategy, and CSI.

Essential Qualifications - NQF Level

  • Advanced Diplomas/National 1st Degrees

Preferred Qualification

  • Bachelor of Commerce: Risk Management , Advanced Diplomas/National 1st Degrees

Minimum Experience Level

  • 5-8 years in a senior compliance/risk/governance role

Technical / Professional Knowledge

  • Relevant Governance controls and regulatory knowledge
  • Corporate Governance & Compliance
  • Compliance reporting
  • Archiving Documentation
  • Policy & Procedural Knowledge


Preference will be given to candidates from the underrepresented groups

Please contact the Green Finance Recruiting Team at +1 (826) 224 1312

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