Capfin – Compliance Liaison Vacancy in Cape Town, Northern Suburbs April 2018

Remuneration: Market related
Location: Cape Town, Northern Suburbs
Job level: Junior/Mid
Type: Permanent
Reference: #CF-423
Company: Capfin


Job description

A position exists at Van As and Associates for a compliance Officer. The successful candidate will be responsible for the implementation, monitoring, support investigation and resolution of the compliance function as out by Van As and Associates. The ultimate objective is to optimise the compliance function and ensure that reputational risk is kept to a minimum.


Key Performance Areas: 


  • Monitor compliance of service providers in terms of:
  • Service Level Agreements
  • EDC Management system requirements
  • Credit Provider Agreement
  • Regulatory Requirements
  • Van As and Associates ad hoc instructions
  • Audits
  • Reporting requirements
  • Monitor compliance adherence, identify and report on non-adherence and resolve in alignment with Van As and Associates compliance objectives
  • Evaluate and report regularly on compliance status of Van As and Associates
  • Drafting of detailed project plans dealing with the deployment of corrective measures
  • Implement corrective measures and controls for monitoring of progress and identify similar remedial actions required
  • Implement audit controls proactively and coordinate remedial actions
  • Coordinate monthly EDC audit checks in alignment with compliance objectives
  • Recommend improvements to improve compliance adherence by all service providers
  • Coordinate the renewal and updates of the Service Level Agreements
  • Coordinate communications to service providers in terms of compliance requirements
  • Review and update compliance framework
  • Keep up to date with regulatory requirements

Ownership of issues and service requests

  • Responsible for taking ownership of all compliance incidents, taking corrective measures and reporting on incidents
  • Responsible for the tracking and progress of compliance incidents to conclusion

Liaison with third party suppliers and internal stakeholders

  • Collaborate with third-party suppliers where appropriate
  • Maintain all internal relationships

Measurement and reporting

  • Continually measure, monitor and work to reduce compliance risks
  • Produce required reports on compliance risks and corrective measures taken
  • Assist with the compilation of Compliance report for the Operation Credit Forum

Functional competencies

  • Proficient in MS Office (Ms Word; PowerPoint; Excel and Outlook)
  • Working knowledge, understanding and application of industry related legislative requirements essential
  • Working knowledge of the NCA and civil process

Behavioural competencies

  • Proactive
  • Ability to take ownership
  • Strong planning and organisational skills
  • Attention to detail
  • Quality and detail orientated
  • Collaboration
  • Judgement


  • Law degree or risk management/auditing qualification.


  • Minimum three years’ working experience in a similar role