Distribution Compliance Manager

2 weeks ago

Johannesburg, Gauteng, South Africa Sanlam Full time
Who are we?

Sanlam Developing Markets [SDM] (a wholly-owned subsidiary of Sanlam Life Limited) is one of the top financial services providers in the South African entry-level and emerging middle market.

It aims to understand the unique requirements of clients and offers a wide range of simple and affordable financial solutions that cover needs such as funeral insurance, savings for education, life cover and personal accident plans.

In terms of the Sanlam Group Governance Policy, SDM is managed by the SA Retail Mass cluster, which is part of the Sanlam Life and Savings cluster within the Sanlam Group.

The cluster focusses on retail products, as well as group schemes. What will you do?
Establish regulatory requirements and regulatory risk universe on applicable legislation.

Complete compliance risk management plans ("CRMPs") for core and topical legislation and track gaps and issues with business and Distribution channels.

Conduct gap analysis on new regulatory developments.

Communicate regulatory compliance requirements and support business with the implementation of processes and controls for alignment with applicable legislation through advisory support, awareness, education and training on regulations within the Distribution Channels.

Perform monitoring reviews on applicable legislation against the processes and controls implemented, discuss non-compliance findings and issues identified together with corrective actions with the channels and impacted business units.

Appropriately escalate non-compliance related issues within the Channels and impacted business units. Ensure that there are remedial plans implemented and track the plans until closure of issues.
Provide inputs on the Compliance Monitoring Plans and regulatory project plans.
Conduct conformance assurance reviews on closed findings and issues. Track pending non-compliance issues with the channels and impacted business units until full closure of issues.
Review and monitor adherence to the FICA RMCP and train employees on the RMCP and FICA obligations
Drive regulatory projects, training and awareness within Distribution Channels in liaison with Learning and Development.
Run ad-hoc workshops and provide advice to the Channels on new and revised regulatory changes. Provide guidance in terms of enhancements of existing controls and processes required in aligning with applicable legislation.

Team Management (coaching, mentoring, review and provide sign-off on work & performance appraisals) and review work performed and monitoring review reports compiled by the team.

Collaborate with 2nd line Compliance to provide assurance to the board on the level of compliance within Retail Mass.

Conduct monitoring reviews in line with the approved Monitoring Plan and engage with the Control owners and Heads of the channels on findings and issues.

Conduct monitoring of Third-Party binder and outsourced arrangements as well as annual due diligence reviews.

Provide monthly reports to the Head of Business Compliance for reporting to Exco on the level of compliance within Distribution channels.

Track non-compliance issues on the Regulatory dashboard with the Process Owners and Channel Heads until remediation.

Maintain a working relationship with internal and external stakeholders within Retail Mass and Group in both 2nd Line and 3rd Lines of defences.

What will make you successful in this role?
Qualification & experience
BComm, LLB or BCom Law degree
Admitted Attorney or Advocate would be advantageous
Eligible for registration as a Compliance Officer with the FSCA
Successfully written the Regulatory Exams (RE 1)
A post-graduate diploma on Compliance Management would be an advantage
At least 5 years relevant experience in the insurance industry on life insurance products
At least 3 years Management experience in the insurance industry
Knowledge of and experience in legislation relevant to the organization (e.g. FAIS, Insurance Act, Long Term Insurance Act Policyholder Protection Rules, FICA, POPIA, FSRA and Pension Funds Act)
Knowledge and skills
Knowledge on life insurance, investments and retirement annuity funds would be an advantage
An Insurance risk qualification will be advantageous.
Compliance monitoring and reporting
Risk management
Compliance and legal projects management
Compliance advice and training
Documentation & business process reviews
Personal Attributes
Business Acumen
Negotiation skills
Good communication skills
Collaboration and Due Care
Flexible and Adaptable Build a successful career with us
We're all about building strong, lasting relationships with our employees.

We know that you have hopes for your future - your career, your personal development and of achieving great things.

We pride ourselves in helping our employees to realise their worth. Through its four business clusters - Sanlam Life and Savings, Sanlam Investment Group, Sanlam Emerging Markets, Santam, as well as MiWay and the Group Office - the group provides many opportunities fo

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