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Regulatory Risk Specialist

Vacancy Details

Reference No.



Our client, a leading financial and services organisation is currently seeking an individual to assume the role of Regulatory Risk Specialist. The successful incumbent will be responsible for providing robust assurance of the level of compliance to regulatory requirements by monitoring processes and related controls in accordance with compliance methodology and minimum standards.


  • Build and sustain collaborative working relationships with relevant peers and stakeholders in order to achieve productivity synergies.
  • Facilitate risk assessment and evaluation of the effectiveness of established controls and provide adequate, effective and efficient risk management controls.
  • Monitor business compliance to the control frameworks, reporting and escalation of incidents of non-compliance to the Risk Manager including follow up on implementation of agreed corrective measures.
  • Utilise root cause analysis to understand issues across the organisation and monitor reviews, conduct trend analysis and determine in a specific business environment.
  • Perform audit testing and comple documentation of planning, testing and findings made in line with the compliance methodologies.
  • Create reports summarising major findings, issues and outstanding remediation items, identify risks and controls.
  • Advise on and provide support to stakeholders in relation to the execution of the practice of relevant legislations, frameworks, processes and tools.
  • Provide an advisory service and consult with the organisation in order to recommend controls and processes to ensure legislative compliance.
  • Implement compliance related campaigns in order to create awareness of the importance of compliance as well providing staff and business with knowledge and skills related to compliance.


  • Must have experience in Insurance Laws, FAIS, FICA, POPIA, CPA, ECTA.
  • An experience of working in the insurance or financial industry, short-term insurance experience, would be advantageous.
  • BCom Degree or Advanced Diploma.
  • Certificate in Compliance or Risk Management.
  • Must have at least 1 to 3 years’ experience in a risk management function, preferably in a financial institution.
  • Basic understanding of South African regulations would be an added advantage.

Kindly note, if you have not heard from us within two weeks of your application please consider it unsuccessful.

Position Type


Work Level



Market Related


Banking/Finance And Investment

Salary Type



Cost To Company

Affirmative Action


Geographic Location

Gauteng - JHB CBD