Compliance Specialist: Governance and Risk

2 weeks ago

Bellville, Western Cape, South Africa Sanlam Full time
Job Description

Company Overview

Sanlam is a leading financial services company that provides a range of products and services to individuals, businesses, and institutions. Our commitment to innovation, customer satisfaction, and employee development drives our success.

Role Summary

The Compliance Officer will be responsible for ensuring compliance with relevant laws, regulations, and industry standards in the Sanlam Fintech business. This includes analyzing and interpreting regulations, identifying and mitigating compliance risks, and developing and implementing effective compliance management systems.

Key Responsibilities

  • Advise management on systems, policies, processes, and controls implemented to enable compliance.
  • Analyze and interpret regulation and legislation, using a risk-based approach.
  • Identify and risk-rate applicable laws and regulations for responsible business units.
  • Develop and implement compliance/legislative universes for responsible business units.
  • Develop and implement Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.
  • Compile monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.
  • Compile monitoring reports on the results of monitoring.
  • Incident reporting, to ensure timeous escalation of compliance risks and incidents.
  • Interpret regulation and legislation, and assist business units with practical implementation thereof.
  • Research and communicate applicable legislative developments to all stakeholders.
  • Assist with the promotion of a culture of compliance and awareness within SFT and actively participate in compliance projects and training initiatives.
  • Provide training on regulatory requirements to SFT businesses.

Requirements

Qualifications:

  • A legal or commercial degree.
  • Compliance qualification and/or designation (PG Diploma in Compliance Management and/or CPrac (SA)) would be advantageous.
  • Meeting the competence, qualifications, and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous.

Experience & Knowledge:

  • 36 years' experience as a Compliance Officer in the Financial Services Industry.
  • Knowledge of the financial services industry.
  • A thorough understanding and knowledge of compliance risk management and monitoring programmes.
  • Experience in a Fintech/Digital environment would be advantageous.
  • A thorough understanding and knowledge of the regulatory requirements impacting on the various businesses (e.g., FAIS, FICA, Insurance Act, LTIA, PPR, POPIA) would be advantageous.

Skills:

  • Analytical thinking skills.
  • Decision making skills.
  • Technical professional skills.
  • Report writing skills.
  • Good communication and presentation skills.
  • Compliance advice and training skills.

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