Compliance Monitoring & Testing Officer

Education and experience required

• Degree in Commerce, Finance, Accounting or Law 
  
•  Wide-ranging experience in a financial services environment.compliance/audit/assurance
  

Monitoring 60%

• Support the monitoring activities for ensuring compliance with Group/BU Compliance policies and local regulatory requirements. 
  
• Agree action plans in order to address the monitoring and testing review findings with business 
  
• Support effective tracking mechanism of all the reviews and respective findings. 
  
• Conduct follow-up reviews on the progress made to address material issues 
  
• Provide guidance and support to country on compliance monitoring related activities and queries. 
  
• Perform ad hoc compliance reviews on specific matters at the request of the Absa Group Compliance Function or country management.
  

Training on Policies and Procedures 40%

•  Support implementation and delivery of the Annual Compliance Training Plan 
  
• Monitor and ensure that each employee has completed the required training that enables them to comply with the legal, regulatory and Group policy requirements. 
  
• Monitoring and Reporting Management Information of all Compliance training and awareness for the relevant forums and stakeholders
  
• Support all compliance related training projects/ initiatives to fulfilment at an acceptable level regarding content and quality
  
• Retaining evidence that training has been received by each member of staff. 
  
• Ensuring that ongoing awareness raising information is provided to staff, including successes within Absa, new typologies and cases, and changes in the legal or regulatory obligations. 
  
• Maintaining robust and update Training Database which show, staff name, staff number, branch/department training categories, role, joining date, date, assessment score, and when next training training/accreditation/attestation should be undertaken. accreditation/attestation
  
• Ensuring that the library of training tests/ questions and answer keys is maintained securely.