Compliance Officer Ii

3 days ago

Johannesburg, South Africa Sanlam Full time

What will you do?
Responsible for implementing and enforcing the organisation's or business units' compliance program. Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements. Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields. Manages, oversees and monitors Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies. Performs statistical sampling and monitoring. Maintains register of representatives and informs Registrar of any changes. May have supervisory responsibilities. Maybe responsible for the control of the Know Your Customer (KYC) / Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) / Automatic Exchange of Information (AEOI) regulations. Analyses the received documents and interacts with the investor, client, intermediary to advise if received KYC documents are acceptable. Ensures compliance with and oversight of, ongoing statutory regulatory requirements. This responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees. Leads the AML/KYC team and organises its operations in terms of resources and development. May have supervisory responsibilities. What will make you successful in this role? Qualification and Experience Degree or Diploma with 4 to 6 years related experience. Knowledge and Skills Compliance and legal projects management Compliance advice and training Documentation reviews Risk Management Compliance monitoring and reporting Personal Attributes Business insight - Contributing through others Manages complexity - Contributing through others Persuades - Contributing through others Builds networks - Contributing through others 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 Being resilient - Contributing through others Collaborates - Contributing through others Cultivates innovation - Contributing through others Customer focus - Contributing through others Drives results - Contributing through others Turnaround time

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