Compliance Officer I

**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.

**Objectives**
- The role of the Compliance Officer is to ensure that the Sanlam Investment Group implements and maintains an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules, policies, and investment guidelines.**Key Responsibilities**
- Monitoring of compliance with applicable legislation and internal requirements.
- Review draft mandates and investment guidelines before implementation.
- Monitor compliance with mandates and investment guidelines for compliance purposes within the timeframes and report to management and clients.
- Engage with Portfolio Managers on breaches identified during portfolio monitoring.
- Identifies and assesses compliance risk areas periodically and appropriately addresses findings through relevant and appropriate action plan processes.
- Advise management, employees, and clients on all compliance and regulatory matters that affect business decisions.
- Developing, promoting, implementing, and maintaining compliance standards and procedures that enable employees to act in a compliant manner.
- Establish and maintenance of procedures on the identification, reporting, and resolution of breaches and other compliance and regulatory issues.
- Train employees to improve their regulatory knowledge and enhance their compliant behaviors.
- Engage with Portfolio Managers, business leaders, and relevant stakeholders on compliance matters relating to all investment management processes.
- Report on compliance matters to the Compliance Manager and respective business area.
- Ensure that an effective system exists for communicating the compliance standards and guidance in the compliance risk areas, including digital training and other relevant communications mediums.
- Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
- Drafting and submitting monthly compliance reports to the respective business units.
- Execute all other functions related to the compliance mandate as delegated by the Compliance Manager.
- Maintain awareness of the regulatory framework and specific obligations within such framework.
- Minimum requirements- Relevant tertiary qualification
- Postgraduate Diploma in Compliance Management would be an advantage
- Three (3) years compliance experience in an asset management environment
- Good working knowledge of FAIS & FICA and other related legislation
- FSCA approved Compliance Officer for Cat II would be an advantage
- Investment and financial industry experience is essential
- Competencies- Functional- Clear, concise, and professional in communication.
- Listens with interest to what others have to say.
- Share information and updates with others as needed.
- Is clear and thorough in reports, documentation, and other written information.
- Can work independently and is a self-starter.
- Work well in a team environment and support team members.
- Decision Quality- Demonstrates good judgment in routine, day-to-day decision-making.
- Makes sound independent decisions in urgent and non-routine situations.
- Considers various inputs, criteria, and trade-offs to arrive at effective decisions and recommendations.
- Uses good judgment about whether to act independently or to escalate an issue.
- Ensures accountability- Communicates the status and completion of assignments.
- Holds self-accountable for complying with policies, procedures, and work requirements.
- Seeks input and feedback to ensure assignments are done correctly.
- Takes responsibility for own actions.
- Sanlam Group Core competencies - Contributing dependently- Collaborates- Makes productive contributions to the group.
- Solicits input from others.
- Acknowledges others’ efforts, advice, and contributions.
- Volunteers to help others when needed.
- Drive Results- Consistently meets the objectives of assigned tasks.
- Maintains work focus despite obstacles or setbacks
- Puts in effort needed to meet goals and expected results.
- Works steadily at unpleasant or routine tasks until they are completed.
- Being Resilient- Remains calm and objective in emotional or stressful situations.
- Recover