QUALIFICATIONS

• A post graduate qualification in Internal Audit, External Audit, Finance, Risk Management or Compliance.

WORK EXPERIENCE

• Experience in working with IT in design and rollout of systems.
• Proven experience in a risk, ethics, conflicts, or independence role within an audit firm or similar financial services setting.
• Risk Management and or Internal Audit experience.
• Operational responsibilities for process execution

Operational responsibilities for process execution

• Intermediate Excel, Word and PowerPoint.
• Strong written and spoken English language skills

KNOWLEDGE

• Intermediate Excel, Word and PowerPoint.
• Written and spoken English language skills

PRIMARY PURPOSE OF THE JOB

This role will be a key member of the Compliance Team that supports BDO South Africa in building a resilient and successful business, by:

• Designing and facilitating effective and efficient compliance processes with clearly defined roles and responsibilities, that enable business to deliver exceptional client service.
• Being a trusted advisor to business, advising on regulations, policies and procedures and enhancing skills through focused training and awareness programmes.
• Implementing monitoring processes, providing value-add reporting and ensuring remedial action is taken for identified non-compliance.
• Entrenching a strong culture in the firm that is about more than pure compliance, but also about promoting a message that everyone has a role to play in protecting the firm against risk.

The Compliance team is responsible for the “Relevant Ethical Requirements (including Independence)” and “Acceptance and Continuance of Client Relationships and Specific Engagements” components of ISQM1.
The Senior Manager role will report to the Head of Compliance and will be responsible for designing, implementing and monitoring effective and efficient processes to ensure compliance with policies relating to Acceptance and Continuance of Client Relationships and Specific Engagements component and for managing Compliance Practitioners who play a role in executing related processes.

MAIN DUTIES AND RESPONSIBILITIES

• Manage design and implementation of projects and initiatives, policies and processes, systems/ tools relating to Acceptance and Continuance of Client Relationships and Specific Engagements.
• Provide training, advice and support to partners, directors and professionals on Client and Engagement Acceptance, Ethics, Independence & Conflicts of Interest policies, processes, procedures, and systems.
• Operational management and reporting of effectiveness and efficiency of all steps on the client and engagement acceptance process. Process steps include reputational checks, independence and conflict considerations, risk assessment process and escalations to relevant role players where required.
• Manage team of Compliance Practitioners responsible for the client an engagement acceptance processes and provide reporting to Head of Compliance.
• Work closely with Independence and Conflicts colleagues to ensure all relevant assessments and clearances are obtained in line with the overall effectiveness and efficiency process objective.
• Identify risks related quality objectives, assess current controls to determine if appropriate and design controls to further mitigate any identified risks.
• Perform reviews to monitor compliance to policies and procedures and provide input into related risks.
• Liaise with business role players to ensure pro-active, effective and efficient acceptance and re-acceptance processes in line with relevant policies.
• Key link between Compliance and the Digital Solutions team to ensure effective and efficient automation solutions.
• Engage with other stakeholders in the firm to ensure a proper understanding and buy-in for defined policies and processes.
• Prepare reporting for Governance Bodies and Committees.
• Identify improvements to existing processes.
• Stakeholder management and engagement

Operational responsibilities for process execution

• Intermediate Excel, Word and PowerPoint.
• Strong written and spoken English language skill