Specialist Compliance - Investigations
Job Description
Role Purpose
We are looking for an experienced Specialist Compliance - Investigations to execute ombudsperson investigations in accordance with the Ombudsperson Policy and Procedure and carry out assigned compliance monitoring audits and reviews.
The role will be responsible for understanding and evaluating compliance-related processes and controls, identifying gaps, conducting root-cause analysis, and recommending corrective and preventive actions. The role will work closely with Compliance team members, subject-matter experts and stakeholders across functions.
Roles and Responsibilities
• Lead and execute assigned investigations in accordance with the Ombudsperson Policy and Procedure.
• Conduct compliance monitoring audits and reviews as per the approved annual plan.
• Gather, review and analyse relevant documents, records and evidence to establish facts and support investigation findings.
• Conduct in-depth root-cause analysis to identify process, control and governance gaps.
• Identify controls that are absent, inadequate or not operating effectively.
• Recommend practical corrective and preventive actions to address identified gaps and reduce recurrence.
• Track investigation and monitoring actions through closure, including agreed remediation measures.
• Prepare clear, factual and well-structured investigation and compliance review reports.
• Present key findings, risks and recommended actions to senior management and relevant stakeholders.
• Support the structured handling, documentation and escalation of ombudsperson cases.
• Contribute to the development and implementation of compliance policies, SOPs and governance documentation.
• Participate in training, communication and sensitization programmes relating to the Code of Business Conduct and Ethics and other key compliance policies.
• Support compliance initiatives led by subject-matter experts and cross-functional stakeholders.
• Maintain confidentiality, independence, objectivity and appropriate documentation throughout the investigation and monitoring process.
Education and Certification
One of the following certifications or qualifications is mandatory:
• Certified Internal Auditor
• Certified Fraud Examiner
• Chartered Accountant
Requirements
Function: Other
Experience Level: Mid-Senior Level