Job Description

Compliance Auditor Job Description

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Job Description

Compliance Auditor Job Description (Duties, Skills, Salary & Requirements)

A Compliance Auditor plays a critical role in ensuring that an organisation operates within legal, regulatory, and internal policy frameworks. This role focuses on identifying compliance risks, evaluating internal controls, and helping businesses avoid legal penalties, financial losses, and reputational damage.

In South Africa, compliance auditors are especially important in regulated industries such as financial services, healthcare, insurance, mining, and government.

What Is a Compliance Auditor?

A Compliance Auditor is a professional responsible for independently reviewing and assessing whether a company complies with applicable laws, regulations, industry standards, and internal policies.

Unlike operational auditors, compliance auditors focus specifically on regulatory adherence, governance frameworks, and risk mitigation.

Compliance Auditor Job Description

The Compliance Auditor is responsible for planning, conducting, and reporting on compliance audits across the organisation. The role involves evaluating policies, procedures, systems, and controls to ensure alignment with regulatory and ethical standards.

They work closely with management, risk teams, and regulators to ensure corrective actions are implemented effectively.

Key Responsibilities of a Compliance Auditor

  • Plan and execute compliance audits based on approved audit plans
  • Assess compliance with laws, regulations, and internal policies
  • Evaluate the effectiveness of internal controls and risk management processes
  • Identify compliance gaps, weaknesses, and regulatory breaches
  • Prepare detailed audit reports with findings and recommendations
  • Track and follow up on corrective actions and remediation plans
  • Assist with regulatory inspections and external audits
  • Maintain accurate audit documentation and working papers
  • Provide guidance on improving compliance frameworks and controls

Daily Duties and Tasks

  • Reviewing policies, procedures, and compliance documentation
  • Conducting interviews with department heads and staff
  • Testing transactions and internal controls
  • Analysing risk exposure and compliance failures
  • Preparing audit reports and executive summaries
  • Monitoring regulatory updates and compliance changes

Required Qualifications

Most employers require the following qualifications:

  • Bachelor’s degree in Accounting, Finance, Law, Business Administration, or Risk Management
  • Postgraduate qualification in compliance, auditing, or governance (advantageous)

Certifications and Professional Memberships (Preferred)

  • Certified Internal Auditor (CIA)
  • Certified Information Systems Auditor (CISA)
  • Compliance Institute of Southern Africa (CISA – Compliance Body) certification
  • Membership with the Institute of Internal Auditors South Africa (IIA SA)

Skills and Competencies

Technical Skills

  • Strong understanding of audit methodologies
  • Knowledge of South African regulatory frameworks
  • Risk assessment and control evaluation skills
  • Report writing and documentation
  • Data analysis and attention to detail

Soft Skills

  • Analytical and critical thinking
  • Strong communication and presentation skills
  • Professional integrity and independence
  • Time management and organisational skills
  • Ability to work with senior stakeholders

Compliance Auditor Salary in South Africa

Compliance Auditor salaries in South Africa vary based on experience, industry, and location.

  • Junior Compliance Auditor: R300,000 – R420,000 per year
  • Mid-Level Compliance Auditor: R450,000 – R650,000 per year
  • Senior Compliance Auditor / Compliance Manager: R700,000 – R1,000,000+ per year

Financial services and large corporate organisations typically offer higher compensation.

Working Conditions

  • Full-time office-based or hybrid roles
  • Occasional travel to branch offices or clients
  • Increased workload during audits, regulatory reviews, or inspections

Career Path and Progression

A Compliance Auditor can progress into roles such as:

  • Senior Compliance Auditor
  • Compliance Manager
  • Risk Manager
  • Head of Compliance
  • Internal Audit Manager

With experience and certifications, compliance professionals are in high demand across regulated industries.

Compliance Auditor Job Description Summary

A Compliance Auditor ensures that an organisation complies with legal and regulatory requirements by reviewing controls, identifying risks, and recommending improvements. This role is essential for maintaining governance standards, protecting the organisation, and supporting ethical business practices.

Frequently Asked Questions (FAQ)

What does a compliance auditor do?

A compliance auditor reviews business processes to ensure compliance with laws, regulations, and internal policies.

Is compliance auditing a good career in South Africa?

Yes. Compliance auditing offers strong job security due to increasing regulatory requirements across industries.

What qualifications are needed to become a compliance auditor?

A degree in accounting, finance, law, or business, plus relevant certifications such as CIA or compliance diplomas.

How long does it take to become a compliance auditor?

Typically 3–5 years of relevant audit, risk, or compliance experience.

What industries hire compliance auditors?

Financial services, healthcare, insurance, mining, government, and large corporations.

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