Compliance Officer I

4 days ago

Cape Town, 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. Objectives
The 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 and policies and investment guidelines. Key Responsibilities
- Assist in monitoring compliance with applicable legislation and internal requirements.
- Review draft supplemental trust deeds with the view of implementation.
- Monitor compliance of portfolios in line with Board Notice 90, ASISA fund classification and any other supplemental deed requirements.
- Engage with Portfolio Managers on breaches identified during portfolio monitoring.
- Identifies and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes.
- Monitoring of the advisory process within an advice business.
- Identification of risks and developing processes to mitigate the risks.
- 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 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.
- Report on compliance matters to the compliance manager and to the respective businesses.
- Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
- Drafting and submitting of monthly compliance report to the respective business units.
- Maintain awareness of the regulatory framework and specific obligations within the Financial Advisory and Intermediary Services (FAIS) Act, and it’s subordinate legislation
- Monitor compliance in line with FAIS requirements Minimum Requirements
- Relevant tertiary qualification
- Postgraduate Diploma in Compliance Management would be an advantage
- Three (3) years compliance experience in an advisory and asset management FSP.
- Good working knowledge of FAIS and FICA and other related legislation
- FSCA Approved Compliance Officer for Category I and Cat II.
- Investment and financial industry experience (essential)
- Understand and experience of CISCA would be advantageous. Competencies

Functional

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 independently and is a self-starter.
- Work well in a team environment and support team members.

Decision Quality
- Demonstrates good judgment in routine, day-to-day decision-making.
- Makes sound independent decisions in urgent and non-routine situations.
- Considers various inputs, criteria, and trade-offs 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 self-accountable for complying with policies, procedures, and work requirements.
- Seeks input and feedback to ensure assignments are done correctly.
- Takes responsibility for own actions.

Sanlam Group Core competencies - Contributing dependently
Collaborates
- Makes productive contributions to the group.
- Solicits input from others.
- Acknowledges others’ efforts, advice, and contributions.
- Volunteers to help others when needed.

Drive Results
- Consistently meets the objectives of assigned tasks.
- Maintains work focus despite obstacles or setbacks
- Puts in effort needed to meet goals and expected results.
- Works steadily at unpleasant or routine tasks until they are completed.

Being Resilient
- Remains calm and objective in emotional or stressful situations.
- Recovers quickly from problems and setbacks.
- Follows guidance on how to r

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