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Compliance Officer
3 weeks ago
Who are we?
Sanlam Life and Savings (SLS) is focused on serving our retail and corporate clients in South Africa and further developing our strategic advantages in the South African market. Sanlam Life and Savings consists of three clusters - Sanlam Corporate, Sanlam Retail Mass and Sanlam Retail Affluent. The Sanlam Life and Savings Office provides strategic direction, coordination and support to the three clusters, as well as performing governance oversight that includes assurance provided by second line of defense functions in SLS, to enable us to meet our business objectives. 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. What will you do?
The Compliance Officer is responsible for assisting the Compliance Manager in ensuring the implementation and maintenance of an effective and well-monitored regulatory compliance framework within Sanlam Retail Affluent, with a specific focus on Glacier International. What will make you successful in this role?
The following outcomes will be expected to be achieved by the Compliance Officer.
Identification and risk rating of applicable laws and regulations
Implementation and maintenance of the compliance framework and processes
Compliance risk assessments, development and implementation of compliance risk management plans
Developing and maintaining compliance monitoring plans
Conducting compliance monitoring
Compilation of internal and external compliance reports
Implementation of remedial action
Review regulatory training material to ensure that training requirements are met
Provide compliance training
Presenting to and engaging the relevant business areas on compliance feedback and corrective action
Provide guidance on regulatory developments and group policies
Assist with the promotion of a culture of compliance and awareness within Glacier by actively participating in compliance projects and training initiatives
Working knowledge of the legislation
Analyse and interpret regulation and legislation
Ability to advise on legislation and understanding the impact that it has on business
Ability to comment on regulatory developments and advise business on changes
Ability to interact with industry bodies on legislation
Timeous involvement in key regulatory projects in order to pro-actively provide compliance guidance to business Qualification and Experience
Minimum of 1-3 years’ experience in compliance
FSCA recognised qualification
Working knowledge of the Generally Accepted Compliance Practice Framework
Applicable regulatory exams
Member of the Compliance Institute of Southern Africa - Certified Compliance Practitioner (CPRAC) designation would be advantageous
FSCA approved FAIS Category I & II Compliance Officer would be advantageous
Compliance experience in relation to International / Offshore investments will be advantageous Knowledge and Skills
A strong working knowledge of the financial services industry and its regulatory environment (local and specific focus on Bermuda and Jersey Legislation)
A thorough understanding and knowledge of development and execution of compliance risk management and monitoring plans
Decision making skills
Technical professional skills
Report writing skills
Presentation skills
Computer literacy
In depth understanding of Category III Financial Services Provider Behavioral Competencies
Ability to work well under pressure, independently and as part of a team
Relationship building
Communication (both written and verbal)
Thorough and detail minded
Negotiation/Influencing
Results oriented
Analytical thinking and problem solving
Leadership and self-confidence
Client service orientation
Attention to detail
Planning and organising 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
The Sanlam Group is committed to achieving transformation and embraces diversity. This commitment is what drives us to achieve a diverse, inclusive and equitable workplace as we believe that these are key components to ensuring a thriving and sustainable business in South Africa. The Group's Employment Equity plan and targets will be considered as part of the selection process.
