This role is a first line of defence function reporting to the Quality Assurance & Compliance manager. The main objective of this role is to monitor and report the business obligations as it relates to the supervision and reporting of Risk Matters within the Business Unit.

The incumbent will be responsible for supporting and embedding the risk and compliance culture throughout the organisation, as well as assisting in the implementation and monitoring of regulatory and operational policies. This role ensures compliance and reports the Operational Risk and Compliance Management Frameworks and quality assurance standards within the first line of defence.

1. Operational Risk:
   • Undertake Control Assurance testing; including other operational risk reviews to ascertain the operating and design effectiveness within key critical processes.
   • Assist to maintain the business procedure library and ensure that documents are reviewed within the required review cycles.
   • Assist to develop risk registers and process maps for key processes and ensure they are updated.
   • Assist to monitor ongoing risk through reviews, analysis and trend assessment.
   • Assist to document and maintain relevant policies, procedures and key process maps for the SBU/BU.
   • Assist in identification, documentation, and reporting of operational and compliance risks.
   • Support incident management by ensuring risk events are recorded and escalated as required and update the incident management systems – Magique.
   • Assist with preparing monthly operational risk reports and Operational Risk Committee reports for managements review in a timely manner
2. Compliance and AML CTF Matters:
   • Support the preparation of compliance reports for senior management and regulators.
   • Assist to monitor requirements in compliance checklists and ensure adherence to statutory and regulatory obligations.
   • Support control testings of obligations registers and monitoring and implementing of resolution plans to address identified gaps.

Experience

• Minimum of 1 to 2 years’ experience in compliance, risk management, operational risk or quality assurance.
• Past experiences to support sound understanding of compliance risk management.

Qualifications

• Tertiary Qualifications in Accounting and/or Business Management and/or Information Systems/Technology.

Technical Skills

• Proficient in Microsoft Applications
• Basic Risk Management and control testing skills
• Ability to organize and analyse complex data sets
• Basic understanding of regulatory compliance