Assistant Compliance Officer at Sanlam Group

What will you do?

• Assist with maintenance and implementation of policies and procedures on various key regulations
• Assist with updating, maintenance and enhancing Compliance Risk Monitoring Plans (“CRMPs”)
• Assist with incorporating new legislation into existing structure
• Assist with monitoring of compliance and adherence with rules, regulation, policies, procedures and limits and recommendations for any enhancements
• Report identified areas of potential compliance vulnerability / risk and provide suggested corrective action plans
• Compliance Static Data Management
• Ensure regulatory and compliance deadlines are met
• Assist and co-ordinate the setting up of training to employees on compliance and new legislation
• Ad hoc tasks as required

Qualification And Experience

• B Com (Law)/LLB or equivalent FSCA recognised qualification
• FSCA RE Exams and/or SAIFM Compliance certification would be an advantage
• 1 - 3 years compliance related experience in the financial services industry

Knowledge And Skills

• Working knowledge and application experience of Financial Markets Legislation is advantageous
• Exposure to private wealth industry beneficial
• Key Acts: FAIS (essential), JSE Rules and Directives (essential), Advantageous supplementary experience: FICA/AML, FATCA, POPIA, Regulation 28 etc.
• Strong Computer literacy skills in MS Office and JSE BDA system knowledge essential
• Excellent numeracy skills
• Technical understanding of financial products and instruments advantageous
• Research and due diligence skills
• System automation skills (Innovative ideas on possibility to automate processes/procedures)

Personal qualities

• Strong numerical orientation
• Highly organized with a high level of client focus
• Accurate and detail orientated
• Critical and analytical capability
• Adaptability to changing environment
• Ability to perform well under pressure and show maturity, confidence and resilience
• Excellent listening, communication and interpersonal skills
• Pro-Active approach to work, clients, problem solving
• Learning agility and curiosity
• Assertive
• Passionate ownership for results