Understand all aspects of compliance and how these affect the Lending Division. These aspects must be taken into account when taking on any tasks for the Bank.
Manage/oversee the customer due diligence process for new clients and ongoing customer due diligence process for existing clients and provide training, guidance and assistance, where necessary.
Ensure transactional monitoring and sanction screening monitoring by actioning all alerts generated on FISERV timeously and accurately.
Timeously and diligently attend to all tasks required for the effective implementation of the RBA/new legislative requirements.
Ensure effective implementation of RBA/new legislative requirements/PoPI Act.
Timeously and diligently attend to tasks required for the effective implementation of TCF.
Ensure the effective implementation of TCF and staff awareness around TCF.
Ensure compliance with FICA, FATCA, POPI and FAIS/TCF.
Ensure all internal audit outstanding matters are resolved.
Ensure that there is no non-compliance that may result in regulatory fines.
Ensure identified non-compliance is resolved.
Minimise persistent non-compliance identified within the Lending Division.
Manage number/percentage of significant audit issues within the Lending Division that have gone past due implementation date (i.e. overdue by 60+ or 90+ days).
Manage number/percentage of recurring significant audit issues within the Lending Division (i.e. where findings raised in prior audits come up again in subsequent audits, particularly when such findings were confirmed to have been resolved).
Maintenance of all required risk registers.
Staff and personal attitudes to clients and colleagues (professionalism, mutual respect, team approach)
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