Regulatory Specialist

6 months ago

Bellville, 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.

**About Sanlam Collective Investments**:
Sanlam Collective Investments (SCI) was established in 1967 as a full Sanlam subsidiary. Sanlam Collective Investments manages funds of about R280 billion on behalf of more than 250 000 investors. Other renowned financial services companies have also partnered with us to offer third-party funds. In these cases, the third-party funds are distributed and promoted by the respective financial services companies, whereas Sanlam Collective Investments is responsible for client administration and compliance. Position description:
The Regulatory Specialist is responsible for enforcing SCI’s compliance program, and ongoing consultation with the business; interpretation of legislation and the ability to identify what changes are required to be implemented, thus ensuring conformance with applicable laws and regulations covering diverse fields. The role calls for the performance of statistical sampling, monitoring and oversight spanning the ambit of the Regulatory team and business, e.g., FICA Compliance, transaction monitoring and preventative monitoring and reporting. Furthermore, the regulatory specialist is also responsible for assisting the business with FICA and Risk rating-related enquiries as well as provide guidance and perform relevant approvals and sign off on Enhanced Due Diligence investigations and monitoring exercises. Key responsibilities will include but are not limited to:
Keep abreast of regulatory change by scanning the regulatory environment, summarizing the pending changes, with relevant implementation dates
Keep abreast of regulation which touches on SCI, e.g., CISCA, FICA, COFI, POPIA, FATCA, AEOI, Income Tax etc.
May be responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations, and other relevant pieces of legislation
Assist SCI operations with AML related enquiries
Assist with analysis of received KYC documents and give guidance whether the received KYC documents are acceptable to the business
Liaise with managers and team leaders as applicable to share a common understanding of any regulatory requirements
Perform regulatory monitoring activities, incl EDD, and transaction monitoring, and revert on issues, provide guidelines to solve problematic cases to team
Review screening and risk rating reports to ensure compliance (daily) and revert on issues
Identify training gaps and engage with the relevant managers to ensure regulatory training is given where applicable
Assist with providing source information for training material, review training programme and training material timeously
Update of the Fica Rule book as well as Risk Rating supporting documentation
Participate and give input on all SCI forms pertaining regulatory requirements to the Regulatory specialist and Manager
Review analysis done on transaction (cash, suspicious transactions) and regulatory monitoring, reports and perform relevant approvals / sign offs (daily basis), and report to managers as applicable
Assist with keeping relevant compliance policies, and documented processes within the business up to date
Provide monthly and quarterly regulatory reports as required by the Regulatory manager, COO and SCI EXCO
Participate in discussions of business/ system requirements for regulatory changes and propose required changes to systems, reports, and processes on regulatory changes to the Regulatory manager
Review and report transaction screening and monitoring on High Risk rated clients report to Regulatory accordingly
Review results of Enhanced Due Diligence and screening investigations on high risk rated clients, perform sign off duties on a daily basis and report findings to relevant managers
Ensures compliance with, oversight over and ongoing statutory regulatory requirements. This responsibility includes spot checking and validation of investor files, technical and documentary support to investor teams, providing suggestions pertaining regulatory matters for the operational procedures and participation in compliance committees.
Ensure all tasks are completed timeously, and escalate to Regulatory & Ve

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