Compliance Officer I

2 weeks ago

Cape Town, Western Cape, South Africa Sanlam Full time
Who we are?
Sanlam Investments Group is one of South Africa's largest investment management companies.

We have a performance history spanning over 100 years, and offer a range of investment and financial planning solutions to protect and grow the long-term wealth of our clients.


We take particular pride in:

  • Sanlam's longevity and innovation
  • People, teamwork and values
  • A culture of diversity and commitment to growing our own timber
  • Our robust, tested and proven pragmatic investment process and philosophy


Our local and offshore investment products cover the full investment spectrum: active and passive; single and multi-manager - both locally and internationally.

Our active funds range are managed according to our pragmatic value investing style. Objective of the Assistant Compliance Officer role
The assistant compliance officer assists the compliance team in ensuring that Sanlam Investment Group implements and maintains an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules an policies and investment guidelines Key responsibilities

  • Assist in monitoring compliance with applicable legislation and internal requirements.
  • Review draft mandates and investment guidelines with the view of implementation.
  • Monitor compliance with mandates and investment guidelines for compliance purposes within the timeframes and report to management and clients.
  • Identifies and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes.
  • Advise management, employees and clients on all compliance and regulatory matters that affect business decisions.
  • Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner.
  • Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues.
  • Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviours.
  • Engage with Portfolio Managers and business leaders on compliance matters relating to all investment management processes.
  • Report on compliance matters to the compliance officer, and assist the compliance officer in reporting on such matters to the Compliance Manager periodically.
  • Assist the compliance officer in ensuring that an effective system exists for communicating the compliance standards and guidance in the compliance risk areas, including digital training and other relevant communications mediums.
  • Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
  • Execute all other functions related to the compliance mandate as delegated by the compliance officer and Compliance Manager. Minimum Requirements
  • Relevant tertiary qualification
  • Postgraduate Diploma in Compliance Management would be an advantage
  • Three (3) years compliance experience in an asset management environment
  • Good working knowledge of FAIS & FICA and other related legislation
  • FSCA Approved Compliance Officer for Cat II would be an advantage
  • Investment and financial industry experience (essential) Competencies
Communicated effectively

  • Clear, concise, and professional in communication.
  • Listens with interest to what others have to say.
  • Shares information and updates with others as needed.
  • Is clear and thorough in reports, documentation, and other written information.
  • Can work idependetly and is a selfstrarter.
  • Work well in a team environment and support team members.
Decision Quality

  • Demonstrates good judgment in routine, daytoday decisionmaking.
  • Makes sound independent decisions in urgent and nonroutine situations.
  • Considers various inputs, criteria, and tradeoffs to arrive at effective decisions and recommendations.
  • Uses good judgment about whether to act independently or to escalate an issue.
Ensures accountability

  • Communicates the status and completion of assignments.
  • Holds selfaccountable for complying with policies, procedures, and work requirements.
  • Seeks input and feedback to ensure assignments are done correctly.
  • Takes responsibility for own actions.
The Sanlam Group is committed to achieving transformation and embraces diversity.

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

The Group's Employment Equity plan and targets will be considered as part of the selection process.

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