Compliance Manager; Independence, Conflicts and Ethics

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 team is responsible for the “Relevant Ethical Requirements (including Independence)” and “Acceptance and Continuance of Client Relationships and Specific Engagements” components of ISQM1

The manager role will report to the Senior Manager Compliance and will be responsible for designing, implementing and monitoring effective and efficient processes to ensure compliance with policies relating to the above components.

Main Duties and Responsibilities

• Managing the firm’s conflict of interest and independence checks received from Global BDO member firms. Management of a YES! Intern who will be tasked with processing of the requests on the relevant systems.
• Manage design and implementation of projects and initiatives, policies and processes, systems/ tools relating to Relevant Ethical Requirements (including Independence).
• Key link between Compliance and the Digital Solutions team to ensure effective and efficient automation solutions.
• Provide training, advice and support to partners, directors and professionals on Ethics, Independence & Conflicts of Interest policies, processes, procedures, and systems.
• 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.
• 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.