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Financial Services Regulatory Manager

2 weeks ago

Johannesburg, Gauteng, South Africa Spane4all Full time
Job Overview

MotoVantage seeks a skilled Financial Services Regulatory Manager to oversee the compliance, regulatory adherence, and operational efficiency of our FAIS department. The ideal candidate will manage a team of quality assurance specialists to ensure high-quality advisory services and adherence to regulatory standards.

Key Responsibilities
  1. Compliance & Regulatory Oversight: Monitor and ensure that all financial advisory services comply with FAIS regulations and the Financial Advisory and Intermediary Services Act. Stay abreast of changes in financial services regulations and provide guidance to team members on compliance requirements.
  2. Team Supervision & Development: Supervise a team of Agents and Quality specialists to ensure efficient service delivery and adherence to internal policies and external regulations. Provide coaching, training, and performance feedback to enhance team members' technical skills, compliance knowledge, and customer service abilities.
  3. Client Interaction & Relationship Management: Ensure the team delivers high-quality customer service while addressing client needs, queries, and concerns in a timely and professional manner.
  4. Risk Management & Reporting: Identify potential risks related to FAIS compliance and operational processes, and implement mitigation strategies. Prepare and submit regular reports on team performance, compliance activities, and regulatory changes to senior management.
Requirements
  • Education: Matric, FAIS-related qualifications such as a Regulatory Exam (RE) or similar certification. Must be FAIS fit and proper on categories 1.2, 1.22, 1.23 & 1.6.
  • Experience: A minimum of 3-5 years of experience in a financial advisory, compliance, or supervisory role within the financial services industry.
  • Skills & Competencies: Strong knowledge of financial products, services, and advisory processes. Excellent communication skills, both written and verbal. High attention to detail and ability to work under pressure to meet deadlines.