Job Specification: Compliance Administrator
Compliance Administrator
Department
Compliance / Quality Management
Position Purpose
The Compliance Administrator will provide administrative and operational support to the Compliance and Quality Manager.
The role is responsible for assisting with the implementation, maintenance and ongoing monitoring of the firm's compliance and quality management processes, including International Standard on Quality Management (ISQM) requirements.
The successful candidate will ensure that compliance documentation, policies, procedures, registers and supporting evidence are appropriately maintained, regularly reviewed and kept up to date.
The position requires a highly organised, detail-oriented individual who is comfortable working with policies, procedures, documentation, deadlines, drafting and following timetables and confidential information.
Key Responsibilities
1. Compliance and Quality Management Support
Provide day-to-day administrative support to the Compliance and Quality Manager.
Assist with the implementation and ongoing maintenance of the firm's System of Quality Management (SoQM) in accordance with ISQM requirements and firm developed policies and procedures.
Assist in ensuring that compliance policies, procedures and processes are implemented consistently across the firm.
Maintain compliance calendars, action plans, registers and monitoring schedules.
Track compliance-related actions and deadlines and follow up with responsible individuals.
Assist with the preparation of reports and status updates for the Compliance and Quality Manager and management.
Maintain appropriate evidence of compliance activities and ensure documentation is complete and readily accessible.
Assist with identifying gaps in compliance documentation or processes and escalate these to the Compliance and Quality Manager.
Support periodic reviews of compliance processes and documentation to ensure they remain relevant and effective.
Assist with the implementation and communication of changes to compliance requirements.
2. ISQM Implementation and Documentation
Assist the Compliance and Quality Manager with the ongoing implementation and maintenance of the firm's ISQM framework.
Assist with minute taking from compliance meetings with various departments and ensure action items are drawn up, follow-up on, until completion of such activities
Maintain the firm's ISQM documentation, including policies, procedures, templates, registers, monitoring documentation and supporting evidence.
Ensure ISQM documentation is reviewed and updated when there are changes to professional standards, legislation, regulatory requirements or firm processes.
Maintain version control and document approval records.
Ensure that superseded policies and documents are appropriately archived and that current versions are easily identifiable on the firms central database.
Assist with maintaining evidence demonstrating that the firm's quality management processes have been implemented and are operating effectively.
Support the preparation of documentation required for internal and external inspections, reviews and regulatory requirements.
Assist in coordinating periodic ISQM reviews and monitoring activities.
Follow up on outstanding ISQM actions and assist in maintaining an accurate action tracker.
Assist with documenting identified deficiencies, remedial actions and follow-up activities under the direction of the Compliance and Quality Manager.
3. Compliance Monitoring and Quality Administration
Assist with maintaining compliance monitoring schedules and programmes.
Coordinate the collection of information and supporting documentation required for compliance reviews.
Maintain registers relating to compliance and quality management matters.
Assist with tracking findings, corrective actions and implementation dates.
Follow up with relevant staff on outstanding compliance matters.
Assist in compiling information and reports for management review.
Maintain confidential records relating to quality management, compliance reviews and monitoring activities.
Assist with ensuring that required compliance documentation is completed within prescribed deadlines.
4. Policy and Procedure Management
Maintain the firm's central repository of policies, procedures, templates and compliance documentation.
Coordinate periodic reviews of policies and procedures to ensure they remain current.
Track review dates, approval dates and responsible owners for policies and procedures.
Assist in obtaining required approvals and sign-offs.
Ensure changes to policies and procedures are appropriately communicated to affected employees.
Assist with maintaining a controlled document register and ensuring staff have access to the latest approved versions.
Identify outdated or incomplete documentation and bring these matters to the attention of the Compliance and Quality Manager.
Minimum Requirements
Relevant diploma, degree or qualification in Compliance, Risk Management, Auditing, Accounting, Business Administration or a related field.
Previous experience in an administrative, compliance, audit, quality management or professional services environment.
Experience within an audit or accounting firm would be highly advantageous.
Knowledge or exposure to ISQM 1 and ISQM 2 would be advantageous.
Knowledge of SAICA requirements and the audit profession would be advantageous.
Strong Microsoft Office skills, particularly Excel, Word and PowerPoint is a must.
Excellent document management and administrative skills.
Key Competencies
Compliance and Quality Mindset
Strong understanding of the importance of compliance, quality and maintaining appropriate supporting evidence.
Ability to identify missing, outdated or incomplete documentation.
High level of integrity and discretion.
Organisation
Excellent organisational and time-management skills.
Ability to manage multiple deadlines and follow up on outstanding actions.
Strong attention to detail.
Documentation
Excellent document control and record-keeping abilities.
Ability to maintain structured filing systems and version-controlled documentation.
Strong written communication skills.
Communication
Professional and confident communication with employees at all levels.
Ability to follow up on outstanding actions diplomatically but persistently.
Ability to communicate compliance requirements clearly.
Analytical and Problem-Solving Skills
Ability to identify gaps and inconsistencies in documentation.
Ability to research and understand new requirements.
Ability to escalate issues appropriately.
Confidentiality and Professionalism
Reporting Structure
Reports to: Compliance and Quality Manager
