Compliance Officer

3 weeks ago


Tygervalley, 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 role
The Compliance Officer will be responsible for implementing and enforcing the organisation's or business units' compliance program, Consults on an on-going basis with operational managers. Ensures conformance with applicable laws and regulations covering diverse fields. Performs statistical sampling and monitoring. What will you do?
- Assist in monitoring compliance with applicable legislation and internal requirements
- Review and comment on draft Supplemental Deeds
- Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
- Assist with the compilation and submission of the quarterly and annual FSB reporting
- Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
- Analyse draft legislation, comment to the applicable persons, inform and comment to the applicable employees
- 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 behaviour.

What will make you successful in this role?
- Relevant tertiary qualification
- A minimum of 4 years’ experience in the Collective Investment Scheme environment and working experience with regards to the Collective Investments Control act and sub-ordinate legislation
- Certificate in Compliance Management would be an advantage
- Financial Advisory and Intermediary experience will be advantageous Qualification and Experience Degree or Diploma with 4 to 6 years related experience. Knowledge and Skills Compliance and legal projects management Compliance advice and training Documentation reviews Risk Management Compliance monitoring and reporting Personal Attributes Business insight - Contributing through others Manages complexity - Contributing through others Persuades - Contributing through others Builds networks - Contributing through others 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. Core Competencies Being resilient - Contributing through others Collaborates - Contributing through others Cultivates innovation - Contributing through others Customer focus - Contributing through others Drives results - Contributing through others 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 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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