Compliance Administrator - FTC at Discovery Limited

About the Role

• The purpose of this role in the FAIS Centre of Excellence is to provide administrative support to the compliance department and business as well as creating and maintaining the Representative Registers for all Discovery FSP’s.

 Key Outputs / Job Responsibilities may include but are not limited to:

• Conducting Pre-Employment for representatives
• Compiling Viabilities for representatives after all required documentation has been received
• Analysing feedback received for Credit, Criminal, Sequestration, Qualification, World Sanction, Trust Index, Raptor, Debarment, Paradigm, CMS and FSCA checks
• Liaising with various external vendors regarding Credit / Qualification checks (MIE & FSCA)
• Communicating to business and provide feedback on Pre-Employment
• Attending to general queries and provide feedback to business
• Adding of representatives at the FSCA and on Digiboard (Onboarding)
• Removing of representatives at the FSCA and Digiboard (Resignations)
• Adding and removing of categories on Digiboard and at the FSCA
• Requesting to open/close/suspend commission code for Reps according to registrations at FSCA
• Checking and processing Supervision Sign offs
• Supervision updates
• Analysis and updating of all competency requirements on representatives
• Conduct investigations related to representatives’ profiles and provide feedback to Business
• Transfers
• Personal updates
• Updating of CMS accreditation
• Send and follow up exemption applications to the FSCA
• Ensure information and documentation on Digiboard is updated including debarment notifications, annual attestations etc
• Manage and maintain work pool to prevent cases from going out of SLA

Qualifications & Work Experience

• Law Degree
• RE 5
• Working experience in a financial services compliance role and understanding of legislation is preferable

Technical Skills or Knowledge

• Strong listening and communication skills
• Work independently and as part of a team when required
• Support management in achievement of team objectives as well as the Centre of Excellence’s objectives
• Efficient time management skills, including quick turnaround time on work
• Attention to detail
• Knowledge of Business Procedures, Rules, Processes and Controls
• Accountability
• Pro-active
• Problem solving
• Discerning