Key Individual
2 weeks ago
**Purpose of the job**:
Qualified Key Individual to manage and oversee the FAIS and sales related activities of the FSP
**Key Stakeholders**:
**Internal**
CEO, Regional and Area Managers, Branch Operations, IT, HR, Compliance
**External**
FSCA, External FAIS Compliance Officer and Training Service Provider
**Outputs / Responsibilities**:
1
Manage and oversee the FAIS related and sales activities of the FSP and ensure operational ability is maintained.
2.
Supervision of the Reps.
3
Provide sound advice and support to business on relevant Compliance risks.
4
Monitor and evaluate internal FAIS programmes and policies and recommend improvements where required.
5
Conduct Fieldwork (most online and some external) to identify and document risks and controls, and assist with corrective actions where required
6
Ensure correct and appropriate processes were implemented in line with the principles of TCF
7
Not only maintain own CPD hours diligently but also monitor same for Reps.
8
Maintain Rep register.
9
Liaise with management regarding monitoring findings and recommended solutions
10
Cultivate and manage positive working relationships with FSCA and submit relevant reports timeously
11
Draft and maintain Compliance trackers where required.
**Competencies**:
Strategic thinking
Stakeholder orientation
Operational ability
Customer centricity
Results-orientation
Effective communication
Self-driven
Team orientation
Decision Making
Time-management
Change facilitation
Leadership
**Qualification Requirements**:
RE1 and RE 5 registered Key Individual.
Compliance qualification an added advantage
**Experience**
Working knowledge and experience of FSCA/FAIS in the microlending / insurance / financial services industry.
Knowledge and experience of NCA, POPI and AML an added advantage
Must be able to communicate in Afrikaans
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