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Regulatory Compliance Professional

1 week ago

Cape Town, Western Cape, South Africa Sanlam Full time

Company Overview

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Sanlam Investment Group is a leading financial services and investment firm in Southern Africa, dedicated to empowering generations to be financially confident, secure, and prosperous. With a strong presence in the region, we offer a wide range of investment solutions that cater to various needs and risk profiles.

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Salary

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Competitive salary package commensurate with experience and qualifications.

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Job Description

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We are seeking a highly skilled and motivated Assistant Compliance Officer to join our team. The successful candidate will assist in monitoring compliance with applicable legislation and internal requirements, identify and assess compliance risk areas, and develop and implement effective compliance standards and procedures.

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Key Responsibilities

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  • Assist in monitoring compliance with applicable legislation and internal requirements.\
  • Identify and assess compliance risk areas periodically and address findings through relevant action plans.\
  • Develop and promote compliance standards and procedures to enable employees to act in a compliant manner.\
  • Assist in establishing and maintaining procedures for identifying, reporting, and resolving breaches and other compliance issues.\
  • Engage with Portfolio Managers and business leaders on compliance matters related to investment management processes.\
  • Report compliance matters to the Compliance Officer and assist in reporting to the Compliance Manager periodically.\
  • Support designated business unit leaders in exercising oversight of compliance in their units.\
  • Execute all other functions related to the compliance mandate as delegated by the Compliance Officer and Compliance Manager.\
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Required Skills and Qualifications

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  • Relevant tertiary qualification\
  • 2-3 years of relevant experience\
  • Postgraduate Diploma in Compliance Management (advantageous)\
  • Experience in asset management environment (advantageous)\
  • Good working knowledge of FAIS, AML & FICA and other related legislation (advantageous)\
  • Investment and Financial Industry Experience (essential)\
  • Experience in a monitoring environment (advantageous)\
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Benefits

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  • Prominent career growth opportunities within a reputable organization\
  • A dynamic and supportive work environment\
  • Ongoing professional development and training\
  • A competitive salary package\
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Others

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At Sanlam Investment Group, we strive to build lasting relationships with our employees and provide opportunities for growth and development. If you're a motivated and experienced professional looking to make a meaningful contribution to our organization, please submit your application.