Compliance Officer

5 months ago

Bellville, South Africa Sanlam Full time

Who are we?
The Sanlam Retail Affluent (SRA) cluster is responsible for Sanlam’s retail business in South Africa. SRA provides clients across different market segments (entry-level, middle-income, affluent, professional market and business owners) with a comprehensive range of appropriate and competitive financial solutions. These include traditional life insurance risk and savings products, investment, retirement, health and fiduciary services. Designed to facilitate long-term wealth creation, protection and niche financing, these solutions are engineered around client needs.
As Wealthsmiths we believe in creating and cultivating a positive, energised working environment that gives you every opportunity to achieve success. Sanlam is committed to transformation and embracing diversity. 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. 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. What will you do?
The Compliance Officer is responsible for assisting the Compliance Manager in ensuring the implementation and maintenance of an effective and well-monitored regulatory compliance framework within Sanlam Retail Affluent, with a specific focus on Glacier. What will make you successful in this role?
The following outcomes will be expected to be achieved by the Compliance Officer.
Identification and risk rating of applicable laws and regulations
Implementation and maintenance of the compliance framework and processes
Compliance risk assessments, development and implementation of compliance risk management plans
Developing and maintaining compliance monitoring plans
Conducting compliance monitoring
Compilation of internal and external compliance reports
Implementation of remedial action
Review regulatory training material to ensure that training requirements are met
Provide compliance training
Presenting to and engaging the relevant business areas on compliance feedback and corrective action
Provide guidance on regulatory developments and group policies
Assist with the promotion of a culture of compliance and awareness within Glacier by actively participating in compliance projects and training initiatives
Working knowledge of the legislation
Analyse and interpret regulation and legislation
Ability to advise on legislation and understanding the impact that it has on business
Ability to comment on regulatory developments and advise business on changes
Ability to interact with industry bodies on legislation
Timeous involvement in key regulatory projects in order to pro-actively provide compliance guidance to business Qualification and Experience
FSCA recognised qualification
FSCA approved FAIS Category III Compliance Officer
Applicable regulatory exams
Minimum of 3 years experience in compliance
Member of the Compliance Institute of Southern Africa - Certified Compliance Practitioner (CPRAC) designation would be advantageous
Working knowledge of the Generally Accepted Compliance Practice Framework Knowledge and Skills
A strong working knowledge of the financial services industry and its regulatory environment (e.g. FAIS, FICA, LTIA, PPR, POPIA etc)
A thorough understanding and knowledge of development and execution of compliance risk management and monitoring plans
Decision making skills
Technical professional skills
Report writing skills
Presentation skills
Negotiation/Influencing skills
Planning and organising skills
In depth understanding of Category III Financial Services Provider
Behavioral Competencies
Ability to work well under pressure, independently and as part of a team
Relationship building
Communication (both written and verbal)
Thorough and detail minded
Results oriented
Analytical thinking and problem solving
Leadership and self-confidence
Client service orientation
Computer literacy
Attention to detail Core Competencies Being resilient - Contributing independently Collaborates - Contributing independently Cultivates innovation - Contributing independently Customer focus - Contributing independently Drives results - Contributing independently Turnaround time
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 ensuring a thriving and sustainable business in South Africa. The Group's Employment Equity plan a

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