Assistant Compliance Officer

1 week ago

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

Sanlam Investment Group

The Sanlam Investment Group is uniquely equipped and positioned to deliver on its purpose of empowering generations to be financially confident, secure and prosperous. Through our vast in-house expertise and strategic partner networks, we can access all asset classes across the globe, private and public, actively and passively managed, to develop investment solutions that are in our clients' best interests and have a positive impact on society. Backed by the Sanlam Group's balance sheet, the Sanlam Investment Group has a true competitive advantage in its ability to invest alongside clients, particularly in private markets where impact investing drives the agenda.

The Sanlam Investment Group is one of the largest, most diversified financial services and investment firms in Southern Africa with assets under management and administration of more than R2 trillion. It is a B-BBEE level 1 contributor and one of the largest black-empowered asset managers on the African continent.

What will you do?

Key Responsibilities
  1. Assist in monitoring compliance with applicable legislation and internal requirements.
  2. Identify and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes.
  3. Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner.
  4. Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues.
  5. Engage with Portfolio Managers and business leaders on compliance matters relating to all investment management processes.
  6. Report on compliance matters to the compliance officer, and assist the compliance officer in reporting on such matters to the Compliance Manager periodically.
  7. Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
  8. Execute all other functions related to the compliance mandate as delegated by the compliance officer and Compliance Manager.
What will make you successful in this role?

Relevant tertiary qualification

2 – 3 years relevant experience

Postgraduate Diploma in Compliance Management would be an advantage

Experience in an asset management environment would be an advantage

Good working knowledge of FAIS, AML & FICA and other related legislation would be an advantage

Investment And Financial Industry Experience (essential)

Experience in a monitoring environment would be an advantage.

Qualification And Experience

Degree or diploma with 2 to 3 years related experience or qualified by experience.

Knowledge And Skills
  1. Compliance and legal projects management
  2. Compliance advice and training
  3. Documentation reviews
  4. Compliance monitoring and reporting
  5. Risk Management
Personal Attributes
  1. Business insight - Contributing independently
  2. Builds networks - Contributing independently
  3. Manages complexity - Contributing independently
  4. Persuades - Contributing independently
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
  1. Being resilient - Contributing independently
  2. Collaborates - Contributing independently
  3. Cultivates innovation - Contributing independently
  4. Customer focus - Contributing independently
  5. Drives results - Contributing independently
Turnaround time

The shortlisting process will only start once the application due date has been reached. The time taken to complete this process will depend on how far you progress and the availability of managers.

Our commitment to transformation

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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