Risk and Compliance Manager

Duties and Responsibilities

• Responsible for reporting to the CEO by providing input into the development of an effective risk management & governance framework.
• Responsible for collaborating with cross-functional teams to implement compliance initiatives and address identified risks.
• Responsible for collaborating with legal teams to ensure compliance with applicable laws, regulations, and ethical standards.
• Responsible for updating and managing the onboarding and conflict processes and managing the teams who carry out these processes to ensure adherence to internal policies and external regulations.
• Responsible for keeping abreast of significant legal developments and new legislation or regulation (including Financial Intelligence Act ("FICA"), Protection of Personal Information Act ("POPI") and Attorneys Act & Rules.
• Implementation and maintenance of the firms risk register (identifying and prioritising risks, mitigation steps and putting controls in place).
• Provide a diagnostic and advisory service to the firm (legal and non-legal) on risk and compliance issues.
• Advising on client and supplier engagements, including engagement letters, supplier agreements and terms of business.
• Investigating all non-compliance from applicable rules of professional conduct, ensuring that these deviations are reported to the relevant disciplinary authorities if required.
• Designing and implementing e-learning training and providing on-going training to the firm to foster a culture of awareness and accountability.
• Drafting, implementing, maintaining, and monitoring firm-wide manuals, policies (Anti-Bribery & Corruption, Conflicts of Interest, Gifts & Hospitality, Outside Directorships, Procurement, Media Communication and Crisis Management, Insider Trading, Whistleblowing, HR policy suite, Code of Conduct, Data Privacy, AI usage, IT/Data security risk policies), procedures and practical guidelines as these pertain to ethical conduct, compliance, and risk management practices.
• Conducted periodic compliance reviews and audits to assess the effectiveness of existing processes and identify areas for improvement.

Education and experience

• Matric/Grade 12
• A LLB degree
• At least 10-15 years experience in the client AML/KYC/FICA process is essential
• Computer literate and proficient in the use of MS software particularly Word, Excel, Outlook, PowerPoint as well as Adobe ProExperience managing databases
• Minimum 5 years proven track record of successfully managing teams that provide support in a professional services environment
• Risk and compliance experience in a law firm
• Good understanding the risk-based approach to client due diligence
• Proficiency with outlook, MS Word and an in-depth knowledge of Excel
• Experience working on the AJS account system and document management systems would be advantageous
• Good verbal and written communication skills
• Good telephone and email etiquette
• Ability to exercise discretion and maintain confidentiality
• Prioritising and organising skills
• Tenacity and high stress tolerance
• A meticulous attention to detail
• Structured delivery approach
• Integrity: honest and strong ethics
• Dependable and assertive
• Adaptable and flexible
• Time management and problem-solving skills essential