Business Compliance Specialist

2 weeks ago

Johannesburg, South Africa Sanlam Full time

Who are we?
Sanlam Developing Markets [SDM] (a wholly-owned subsidiary of Sanlam Life Limited) is one of the top financial services providers in the South African entry-level and emerging middle market. It aims to understand the unique requirements of clients and offers a wide range of simple and affordable financial solutions that cover needs such as funeral insurance, savings for education, life cover and personal accident plans. In terms of the Sanlam Group Governance Policy, SDM is managed by the SA Retail Mass cluster, which is part of the Sanlam Life and Savings cluster within the Sanlam Group. The cluster focusses on retail products, as well as group schemes. What will you do?
Contribute to the efficient and effective functioning of Compliance Function
Update and maintain the Regulatory Universe and assist with gap analysis on new legislative updates
Monitoring and Reporting on the Sales Processes
Travel to Sanlam Retail Mass branches to conduct onsite monitoring where required
Offsite compliance monitoring
Update compliance issue log and ensure that remedial actions are tracked and implemented within the Distribution channels
Assist the compliance manager to ensure that business processes are in compliance with applicable legislation, 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 and that the TCF principles and outcomes and adhered to. (TCF)
Assist with the debarment processes being adhered in line with the FAIS and FSRA legislation
Conduct regulatory compliance training
Provide guidance to junior compliance monitoring officers/specialists.
Assist with monthly and ad-hoc regulatory compliance reports
Compliance consulting / advice to distribution / implementation support
Design and implement policies and procedures / manuals to ensure compliance
Compliance scheduling.
Communication on compliance matters (internally).
Provide Training and Awareness on Compliance Matters
Create awareness within Distribution 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 What will make you successful in this role?
Qualification & experience
LLB, Bcomm or Audit qualification
Post-graduate qualification in Compliance (advantage)
At least three years’ experience in a compliance role, preferably in the financial services industry.
Knowledge and skills
RE 1 (Advantage)
Personal Attributes
Good inter-personal skills
Attention to detail
Analytical thinking
Integrity
Results orientated
Decision making
Planning and Organizing
Communication
Sound reporting
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 Cultivates innovation - Contributing independently Customer focus - Contributing independently Drives results - Contributing independently Collaborates - Contributing independently Being resilient - Contributing independently 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 ensuring 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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