Identify and ensure that the organisation complies with relevant legal, statutory, and regulatory requirements as well as internal controls (policies, processes, and procedures established by the organisation).
- To develop and implement an organization’s compliance programmes.
- Determine the relevant interested parties (Regulators) and their requirements.
- Continually monitor and review information about the interested parties (regulators) and their relevant requirements
- Maintain and strengthen relationships with Industry regulators (responding to correspondence and inquiries from regulatory authorities)
- Ensure strict adherence to compliance standards and advise Management on implications of non-compliance.
- Ensuring all stakeholders are aware of the company’s Compliance programme through quarterly/periodic trainings such as AML/CFT etc.
- Ensure regulatory filings are done as at when due; monitors and reports on the effectiveness of controls in the management of the organizations risk exposure.
- Provide updates on relevant rules and regulations and their implication for the business.
- Provide quarterly compliance reports to the management.
- Ensure that adequate due diligence is carried out on all business partners.
- Ensure functional whistleblowing lines and avenues are in place.
- Track and follow up with management on non-compliance issues to prevent reoccurrence.
- To act in the capacity as the company’s representative on all compliance matters both internally and externally.
- Prepare periodic reports and perform other duties as required/requested by the Line Manager.
- Bachelor’s degree in engineering, Legal, Business Management, or any other social science discipline.
- CIN - Certified Designate Compliance Professional as a minimum
- Other risk management certifications will be an added advantage.
- Minimum of five (5) years of work experience with two (2) of those years as a practicing compliance officer.
- Very strong understanding (of both practical and theoretical knowledge) of Quality standards/frameworks: ISO 9001.
- Very good quality audit skills and auditing experience.
- Good knowledge of compliance and risk management.
- Ability to motivate people and manage stakeholders’ expectations.
- Excellent social and communication skills.
- Mature individual, able to relate effectively across the board while maintaining professional detachment and assertiveness.
- Good organisational and personal effectiveness skills.
- The person must be able to work effectively with little or no supervision.
- Excellent proficiency in the use of office productivity tools.
- Must be well organised and demonstrate a high sense of urgency with regard to risk management.
- Must possess a service-oriented attitude.
- Must possess very strong attention to detail and the ability to grasp information quickly.
- Must be able to cope with working long hours and be ready to travel (when necessary) for business meetings within short notice.
- Must be able to manage sensitive information.
Key Performance Indicators
- Zero tolerance for infractions of legal, statutory, and regulatory requirements.
- Zero undetected risks.
- Increase organizational-wide awareness of compliance risks.
- Meantime to compliance issue discovery – low
- Meantime to compliance issue resolution – low
- Low numbers of Non-Compliance (NC) issues were reported during an audit.