Risk Replacement Monitor

2 weeks ago

Bellville, Western Cape, South Africa Sanlam Full time
Who are we?

SanlamConnect is dedicated to supporting, growing, and empowering clients with affordable, easy and suitable solutions, primarily through face-to-face intermediary channels, but also directly.

We have approximately 2,000 tied advisers and 2,000 supporting independent brokers, all dedicated to meet the financial needs of our clients.


Our vision:
We aspire to be the best at building enduring relationships by connecting clients with Sanlam.

We create sustainable value by attracting new clients, supporting ongoing client engagement, and providing adaptive solutions designed to answer life's financial questions.

ULTIMATELY, WE EMPOWER PEOPLE TO BE FINANCIALLY CONFIDENT, SECURE AND PROSPEROUS. What will you do?
This role will be part of the Legal Services team in Distribution Support business area.

The incumbent will be responsible to effectively promote, monitor, and drive intermediary adherence to compliance and risk management specifically in relation to replacements.

What will make you successful in this role?
Promote, monitor, and drive the effective adherence of Compliance and Risk Management through:
Pro-active monitoring of practices and replacement business cases submitted by intermediaries
Ensuring that all compliance practices and procedures are strictly adhered to in terms of disclosures, advice given, recordkeeping and ethical behaviour when dealing with clients and conducting sales
Tracking, interpreting, and communicating trends and gaps in terms of compliance risks identified and manage or coordinate corrective actions in partnership with relevant partners
Compliance recordkeeping and reporting
Signing off on relevant documentation required
Identify and coordinate training where needed
Qualification and experience
Valid driver's license with own reliable motor vehicle

Minimum qualifications:

Relevant Commerce Degree and/or Diploma
Post Graduate Diploma in Financial Planning will be advantageous (or in process)
Investment and Risk Product Accreditation
Other industry related qualifications will be advantageous Knowledge and skills
Financial services industry and market knowledge
Sanlam product knowledge (including investments)
Knowledge of content and impact of all the relevant compliance related legislation and requirements for the Financial Services Industry
Financial Planning and sales processes and governance

MS:
Office (Excel, Word, PP, Outlook)
Sales Advice process
Sales related tools (Sanfin, S.Net and Suite etc.)
Auditing and forensic practices and process
Compliance complaints process
Risk management policies, practices, and processes
Policy Replacement Rules
Record of Advice
Personal attributes
Decision Making
Communicates effectively
Technical Professional Skills
Analytical and attention to detail
Action Orientated and work well under pressure
Continuous Learning
Professional and ethical
Demonstrates self-awareness Core competencies
Customer Focus
Collaborates
Cultivates Innovation
Drives Results
Being flexible and adaptable
Turnaround time

Closing date: 23 February 2023 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 for growth and development.

Our commitment to transformation

The Sanlam Group is committed to transformation and embracing diversity and our employment equity plan and targets will be considered as part of the recruitment process.

This commitment is what drives us to achieve a diverse workplace with employment equity as a key goal to create an inclusive workforce, representative of the demographics of our society as well as people with disabilities.

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