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Senior Manager: Legal, Risk and Compliance

A vacancy exists at a leading Investment administration firm for a Senior Manager in the Legal, Risk and Compliance space.

The purpose of the position is to –

  • establish and align the company’s integrated risk management policies, processes and risk reporting to the Board’s enterprise-wide risk management approach;
  • provide independent audit assurance that the company’s risk management, governance and internal control processes are operating effectively;
  • to oversee the compliance function and coordinate the function with the external compliance officer thereby assisting the company with discharging its regulatory responsibilities; and
  • to oversee the legal function.

Duties of the role will include:

  1. People Management – Leading a team of professionals in the fields of:
  • Legal – that are responsible for all the company’s legal contracting through internal and external legal support, as well as overseeing the company secretarial functions.
  • Audit – An internal audit function that:

(a) Perform combined assurance planning and reporting

(b) Perform and report audits as assigned by the approved combined assurance plan

(c) Facilitate external client audit and Regulatory requests

(d) Managing audit engagement for ISAE3402 assurance.

 

  • Risk – Support the Board’s responsibility of setting the Risk management policy that is based on the principles and practices of enterprise-wide risk management.
  • Compliance – manage relations with external Compliance Officer and keep business up to date with regulatory compliance requirements.
  • Perform capacity planning and put actions in place to retain key and highly performing individuals
  • Provide effective performance feedback through employee recognition, rewards and disciplinary action
  • Coach, mentor and develop staff on all levels

 

  1. Responsible for the drafting of the company risk enterprise approach and act as custodian for all other company policies.

 

  1. Relevant reporting to relevant internal and client Audit and Risk committees.

 

Candidates should meet the following requirements:

 

  • Professional
  • Planning and Organising
  • Communicator (written, verbal presentation skills)
  • Knowledge based Independent views
  • Problem Solving
  • Delegating
  • Perseverance
  • Ability to work independently and take responsibility
  • Attention to detail and thoroughness
  • Be a strong negotiator and able to interact confidently with Senior Executives
  • Focused individual who is able to execute effectively, planning own outputs and meet specified deadlines
  • Good interpersonal skills with the ability to communicate effectively, professional, diplomatic, cordial and collaborate sensitively with others
  • Ability to influence and build good relationships at all levels in order to effectively carry out responsibilities
  • Must be a team player
  • Be able to conduct meetings and presentations skillfully

 

Education

  • Minimum 5-7 years relevant industry and managerial experience where Legal, Audit, Risk and Compliance responsibilities formed a material portion of the role
  • BCom (Honours) with completed articles at leading audit firm
  • Recommended CA(SA) or Certified Internal Auditor qualification
  • Recommended Occupational Certificate: Compliance Officer
  • Knowledge of Financial Services Legislative environment