Compliance Administrator: Ra Sc Succession Fin

2 weeks ago

Pretoria, Gauteng, South Africa Sanlam Full time

Who are we?
Sanlam is a business that focuses on the middle and affluent market.

We are 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.


As part of SanlamConnect, Succession Financial Planning (SFP) is a financial services provider with a focus on the Registered Financial Adviser (RFA), looking to grow a professional practice while offering holistic financial planning to their clients.

SFP is a wholly owned subsidiary of the Sanlam Group.

What will you do?
- o Undertake to fully understand the content and impacts of all relevant legislation and requirements for the financial services industry.

  • Ensure that all compliance practices and procedures are strictly observed in terms of disclosures, advice, record keeping, and ethics/behaviour undertaken when dealing with advisers and clients.
  • Track, interpret and communicate trends or gaps in terms of risks within the business.
  • Support the complaints register and resolution process.
  • Ensure all complaints are logged, investigated properly, and resolved according to the due process. Undertake to do the necessary report and record keeping thereof.
  • Gatekeep and monitor new business submitted for a compliance review
    What will make you successful in this role?


 Qualification & experience
  • A relevant matric qualification
  • Onetwo years' experience on Sanfin and CommPay
  • A completed Commercial/Financial/Legal or businessrelated diploma/degree
Knowledge and skills

  • To be successful you will need to demonstrate good experience in:
  • Knowledge of and experience in MS Office
  • Good knowledge of the lodging and suspense review processes
  • Good basic IT/systems operations knowledge
  • Financial Services Industry Knowledge
  • Relevant regulatory legislation and compliance knowledge
  • Financial Service Product Knowledge (Sanlam and competitors)Competencies
  • Cultivates innovation
  • Client centricity
  • Results driven
  • Collaboration
  • Flexibility and adaptability
  • Plans and aligns
  • Communicates effectively
  • Action oriented
  • Optimizes work processes

Personal Attributes

  • Communicates effectively
  • Contributing dependently
  • Decision quality
  • Contributing dependently
  • Action orientated
  • Contributing dependently
  • Optimises work processes
  • Contributing dependently

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 five business clusters
  • Sanlam Fintech, Sanlam Life and Savings, Sanlam Investment Group, Sanlam Allianz, Santam, as well as MiWay and the Group Office the group provides many opportunities for growth and development.
    Core Competencies


 Cultivates innovation
  • Contributing dependently
  • Customer focus
  • Contributing dependently
  • Drives results
  • Contributing dependently
  • Collaborates
  • Contributing dependently
  • Being resilient
  • Contributing dependently

Turnaround time-Turnaround times-Our aim is to help you 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 business clusters
  • Life and Savings, Sanlam Emerging Markets, Sanlam Corporate, Sanlam Investment, Santam, as well as 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.

This commitment is what drives us to achieve a diverse, inclusive and equitable work environment as we believe these are key components to ensuring a thriving and sustainable business in South Africa.

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