Compliance Manager

Pinelands, Cape Town

Confluent's Risk and Compliance team is currently seeking a Compliance Manager to join the team.

The Compliance Manager will oversee Group Compliance, Quality Assurance (QA) and Regulatory Complaints teams, ensuring that all operations and processes comply with internal standards, external regulations, and industry best practices.

This individual will be responsible for driving continuous improvement, managing compliance risks, and ensuring the seamless resolution of complaints. The role further includes designing, implementing and maintaining a robust Group compliance structure and framework, as well as providing compliance-related insights and assistance to all business units and the Executive team. The Compliance Manager will work closely with Internal Audit and Group Legal.

The ideal candidate will combine a deep understanding of compliance and quality management with strong leadership skills, ensuring that all business operations align with internal policies, external regulations, and industry best practices.

Key Responsibilities:

Quality Assurance Management:

• Lead the QA team to ensure adherence to quality standards and regulatory requirements.
• Develop, implement, and maintain quality assurance policies, procedures, and guidelines.
• Monitor key performance indicators (KPIs) to evaluate the effectiveness of QA processes.
• Conduct regular audits, inspections, and assessments to identify gaps and recommend corrective actions.

NCR and Complaints Management:

• Supervise the NCR Complaints team to ensure timely investigation and resolution of all complaints.
• Develop and maintain a robust complaint handling process to enhance customer satisfaction and operational efficiency.
• Analyse complaint trends and provide actionable insights to relevant stakeholders.
• Coordinate with cross-functional teams to implement preventive measures and reduce recurrence of issues.

Compliance Framework Implementation and Maintenance:

• Assist in designing, implementing, and maintaining the Group Compliance Structure/Framework.
• Ensure the Organisation/Group complies with all relevant regulations, industry standards, and internal policies.
• Develop and maintain compliance policies, procedures, and documentation.
• Monitor and assess regulatory developments and advise on their impact on the organisation.

Executive Support:

• Provide compliance-related insights, reports, and recommendations to the Executive team.
• Support strategic decision-making with compliance data and risk assessments.
• Act as a liaison between the Executive team and compliance-related functions.

Leadership and Team Management:

• Provide strong leadership to the QA and NCR Complaints teams, fostering a culture of accountability, transparency, and continuous improvement.
• Set clear performance objectives and conduct regular performance reviews.
• Support the professional development and training needs of team members.

Training and Awareness:

• Develop and deliver compliance training and /or communication for staff at all levels.
• Promote a culture of compliance and ethical business practices throughout the organisation.

Key Requirements:

• Bachelor’s degree in law, Business or a related field.
• Minimum 3 years' proven experience in a compliance management or related role.
• Strong knowledge of quality assurance processes, compliance frameworks, and regulatory requirements.
• Extensive knowledge of South African Legislation such as FICA, FAIS, NCA, POPI etc.
• Demonstrated ability to implement and maintain compliance structures and frameworks.
• Exceptional leadership, communication, and interpersonal skills.
• Strong analytical and problem-solving skills, with the ability to provide actionable insights.
• Knowledge of the Financial Services Industry.

Key Competencies:

• Leadership and Team Management
• Strategic and Analytical Thinking
• Strong Attention to Detail
• Excellent Communication and Reporting Skills
• Adaptability and Problem-Solving
• High Ethical Standards and Integrity
• Confident decision making
• A strong customer service focus – Treating Customers Fairly (TCF)
• Considered an advantage:
• Certifications in compliance, risk and/or quality management (e.g., Diploma/ Certificate in Compliance Management).
• Affiliation to the Compliance Institute of South Africa.
• Experience working with cross-functional teams and senior leadership.
• Familiarity with compliance tools and digital technologies to enhance operational efficiency.