Compliance Specialist

7 months ago

Johannesburg, South Africa Sanlam Full time

**Who are we?**

Sanlam is a leading Financial Services Institution, which provides services in the fields of Individual Life Insurance, Group Life Insurance, Unit Trusts and Asset Management. To give substance to its objective to be fully-fledged Namibian Insurer, Sanlam is increasingly introducing greater financial and technical expertise.

**What will you do?**

**Contribute to the efficient and effective functioning of Compliance Function**:

- Assist manager to ensure that compliance function are in compliance with law and industry and regulatory body requirements
- Promote prevention of legal and regulatory risk in the company (TCF)
- Maintain efficient and effective operations in Compliance
- Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)
- Assist with the debarment processes being adhered to within the Group
- Analyze & identify compliance risks and provides advice to management, relevant committees, the business risk management function and employees, in order to effectively manage compliance issues
- Implement amendments to internal policies and procedures (i.e. SOPs)
- Compliance monitoring and reporting for various business units
- Creating regulatory study material
- Conduct regulatory compliance training
- Provide guidance to junior compliance monitoring officers within IL Compliance Facilitate and prepare regulatory compliance audits and reports
- Compliance consulting / advice to business / implementation support
- Design and implement policies and procedures / manuals to ensure compliance
- Compliance scheduling.
- Communication on compliance matters (internally).

**Compliance Monitoring and Reporting**:
Monitor compliance risk, policies and procedures with IL- Complete monitoring reports for IL Compliance Manager
- Provide overall compliance assistance, guidance and advice to IL
- Contribute to the development of compliance risk management plans (CRMPs)
- Contribute to the completion of compliance reporting.

**Provide Training and Awareness on Compliance Matters**:

- Create awareness within IL on Compliance Matters
- Inform employees about relevant compliance matters
- Develop, educate and enabling healthy and business orientated compliance culture
- Identify regulatory requirements for operational compliance as a financial institution
- Communicate regulatory compliance requirements (awareness / education / training / etc.) to business units
- Perform compliance audits in relation business unit

**Compliance Monitoring and Reporting**:

- Monitor compliance risk, policies and procedures with IL
- Complete monitoring reports for IL Compliance Manager
- Provide overall compliance assistance, guidance and advice to IL
- Contribute to the development of compliance risk management plans (CRMPs)
- Contribute to the completion of compliance reporting

**Provide Training and Awareness on Compliance Matters**:

- Create awareness within IL on Compliance Matters
- Inform employees about relevant compliance matters
- Develop, educate and enabling healthy and business orientated compliance culture
- Identify regulatory requirements for operational compliance as a financial institution
- Communicate regulatory compliance requirements (awareness / education / training / etc.) to business units
- Perform compliance audits in relation business unit

**Qualification and Experience**
- Legal degree / Diploma or Accounting qualification with Articles
- A completed compliance / audit qualification would be a distinct advantage.
- At least three years’ experience in a compliance or audit role, preferably in the financial services industry.
- RE 1 (Advantage)

**Core Competencies**:

- Technical knowledge and skills
- Good inter-personal skills
- Attention to detail
- Analytical thinking
- Integrity
- Results orientated
- Decision making
- Planning and Organizing
- Communication

**Knowledge and Skills**
- Compliance and legal projects management- Compliance advice and training- Documentation reviews- Compliance monitoring and reporting- Risk Management**Personal Attributes**
- Business insight - Contributing independently- Builds networks - Contributing independently- Manages complexity - Contributing independently- 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.**Turnaround time**The Sanlam Group is commited to achieving transformation and embraces diversity. This commitment is what drives us to achieve a diverse, inclusive and equitab

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