Compliance Officer: GO: LS: Compliance: JG: 11: Houghton at Sanlam Group

What will you do?

• Analyse and interpret regulation and legislation, and using a risk-based approach.
• Identification and risk rating of applicable laws and regulations for responsible business units;
• Development and implementation of compliance/legislative universe for responsible business units
• Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions;
• Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof;
• Compiling monitoring reports on the results of monitoring;
• Incident reporting, to ensure timeous escalation of compliance risks and incidents,
• Interpret regulation and legislation and assist business units with practical implementation thereof
• Advise and provide guidance to management on systems, policies, processes and controls implemented to enable compliance.
• Research and communicate applicable legislative developments to all stakeholders
• Assist with the promotion of a culture of compliance and awareness within Sanlam Sky and actively participating in compliance projects and training initiatives.
• Provide training on regulatory requirements to channels
• Guide and mentor junior team members

Qualification and Experience

• A legal or commercial degree
• Compliance qualification (PG Diploma in Compliance Management) would be advantageous.
• Meeting the competence, qualifications and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous
• 3-6 years’ experience as a Compliance Officer in the Financial Services Industry