Manager: Risk & Compliance (Peo Finance) MT1
Listing reference: capbg_000107
Listing status: Online
Apply by: 15 July 2025
Position summary
Industry: Banking
Job category: Banking, Finance, Insurance. Stockbroking
Location: Botswana
Contract: Permanent
EE position: No
Introduction
A Compliance Manager plays a crucial role in ensuring that the organization adheres to all relevant laws, regulations, and internal policies.
Job description
| Customer/ client | |
| Compliance Reporting | • Determine the governance requirements relating to compliance reporting e.g. BARC, Peo Finance Board of Directors etc; • Determine the compliance reporting requirements to stakeholders and regulators / supervisors in terms of regulatory and/or entity`s requirements; • Analyse regulatory requirements relating to reporting to regulators / supervisors; • submit compliance reports and other assignments to relevant stakeholders within requisite deadlines; • Prepare and submit reports in the appropriate format; |
| Stakeholder engagements on Regulatory Compliance | • Develop and implement registers of regulators and supervisors and identify regulators applicable to the entity; • Assist management in coordinating communication and liaison with regulators and supervisors; • Assist management in reviewing and implementing Peo Finance`s Contact with Regulators Policy and other procedures to address the management of the relationship with regulators and supervisors; • Monitor the implementation of the regulator or supervisor management policies and procedures; • Monitors and identifies difficulties and challenges in the relationship with regulators or supervisors and facilitate the development of remedial actions; • Participate in regulator and supervisor working groups, meetings and platforms; • Consistently demonstrate the ability to appropriately implement regulatory requirements. |
| Colleague | |
| Ethics | 1. Actively make use of the anonymous tip-offline for reporting of unethical behavior where evident 2. Take ownership for making decisions that are aligned to our Code of Conduct 3. Complete all KnowB4 Ethics training |
| Leadership Development | • Identifies skill gaps and recommends appropriate training; • Ensure implementation of Personal Development Plans on an annual basis. |
| Performance Management | • Ensures that signed Job Description is in place; • Ensures that performance objectives are developed and that Performance Contract is signed for; on annual/semi-annual/quarterly basis as the case may be • Submits Performance Evaluation Reports to Line Manager. |
| Internal audit | • Assist audit in providing information needed to provide assurance • Close/ remediate all issues relating to AML/ KYC/ Compliance within set timelines |
| Ciitzenship | |
| Social Responsibility | Actively participate in the corporate social responsibility initiatives. |
| Sustainable operations | Drive a cost containment culture within the department and organization. |
| Conduct | |
| Governance (Policies, Frameworks, Manuals) | • Assist management in the design, development and implementation of compliance frameworks, policies, manuals and critical processes; • Develop, review and maintain compliance framework that meets the compliance-related objectives of Peo Finance; • Assist management to implement or review compliance processes that will encourage a compliance culture; • Facilitate approval of policies or charters and manuals by senior management and governance committees; • Conduct awareness sessions and formal engagements key aspects of the policies or charters and manuals to management, staff and stakeholders; • Develop and implement a compliance program that meets the compliance-related objectives of the entity; |
| Operational Risk and other business risks | • Develop and monitor the Risk Register for Peo Finance • Develop and track Key Risk Indicators for discussion during Management meetings • Facilitate development of controls relating to approved policies. |
| Control Monitoring | • Updating of the control register on a quarterly basis or as and when policies are reviewed. • Quarterly testing of controls per control register. • Incorporation of feedback into BARC submissions. |
| Operational exellence and effective execution | Develop initiatives to enhance effectiveness in day-to-day business activities i.e., risk reporting tools, clear and useful reporting, regulatory reporting trackers. |
| AML Compliance | • Ensure timeous reporting of suspicious transactions • Ensure that there is sanctions and adverse media screening of high risk clients • Conduct training and awareness of staff, brokers and agents on ML/ FT/ PF issues |
| AML and Ethics KnowBe4 training | • Ensure that all staff has access to the AML and Ethics online training • Ensure that staff completes training by the set timelines |
| Company | |
| Compliance Monitoring | • Monitor compliance with applicable regulatory requirements relevant to the entity and its products and / or services; • Apply the Generally Accepted Compliance Standards and Principles relating to monitoring e.g. apply monitoring methods and tools, test the adequacy and effectiveness of controls, conduct substantive testing if necessary, prepare monitoring working papers, record and evaluate the monitoring findings, prepare a compliance monitoring report with recommendations based on the findings as documented in working papers; • Provide compliance monitoring advisory services within the entity; • Scan the regulatory environment for proposed legislative/regulatory changes and creating awareness of such changes; • Communicate and monitor emerging local/best practice governance requirements in terms of laws, regulations and industry standards. |
| Compliance Risk Management Plans | • Develop and document compliance risk management plans • Use the compliance risk profile to prioritize the development of risk management plans; • Facilitate and/ or effect the periodic review and update of risk management plans and establish whether there are any updates to the regulatory requirements that should be addressed in the risk management plan; |
| Compliance Universe | • Identify, assess and prioritize the applicable regulatory requirements that Peo Finance is required to comply with; • Identify and analyze the entity’s compliance risk universe • Workshopping relevant business units to categorize and assess the applicable regulatory requirements in order to prioritize the risks in terms of the risk matrix; • Research regulatory requirements in relation to own environment, business and determine practical implications; • Monitor and review current practices, identify misunderstandings, areas of concern or non-conformance and develop/support the implementation of action plans and review progress against the objectives; • Communicate the regulatory universe to relevant stakeholders; |
| Funding | • Adhrence to IFC agreement covenants. • Ensure that other funders' agreements are adhered to by the organization. |
Minimum requirements
Qualifications | • Bachelor’s degree in finance, Law, Business Administration, or a related field • Certified Regulatory Compliance Manager (CRCM) or equivalent certification will be an added advantage.
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Experience
| • Min of 7 years relevant experience in similar environment with at least 2 years in a managerial role. • Leading enterprise-wide projects or change initiatives. • Team management • Excellent analytical, communication, and leadership skills. Ability to manage multiple priorities and work independently.
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