Compliance Officer at Sanlam Group

• Liaising with regulators
• Training of employees on compliance and new legislation
• Formulation and maintenance of procedure manuals
• Incorporating new legislation into existing structure
• Determine Statutory and Management requirements applicable to different business areas
• Formulating and implementing Risk Management Plans
• Drawing up and implementing policies and procedures on FICA, FAIS, Financial Markets Act etc.
• Monitoring compliance and adherence with rules, regulation, policies, procedures and limits
• Interact with Group Companies

What will make you successful in this role?

• Experience within Private Wealth Industry
• High level of accuracy
• Have a high and broad level of FAIS experience and knowledge
• Excellent communication and interpersonal skills
• Have a solutions based approach when interpreting regulation

Qualification And Experience

• B Com (Law) or equivalent
• Must be a registered and FSCA Compliance Officer
• In the possession of all appropriate SAIFM Compliance certification
• 3 - 5 years compliance related experience in the financial services industry

Knowledge And Skills

• Working knowledge and application experience of Financial Markets Legislation would be an advantage
• Sound decision and judgment making under pressure
• Excellent negotiation skills and diplomacy
• Operate at both a detailed and strategic level
• Excellent verbal and communication skills
• Ability to operate as a team leader or in a support role, depending on the activity
• Computer literate in MS Office and JSE BDA system knowledge essential

Personal qualities

• Strong analytical and logical thinking skills
• Excellent communication and presentation skills
• Good report writing skills
• Strong administrative and organizational skills
• Ability to act independently as well as part of a team
• Pro-active approach and a lateral thinker
• Ability to operate within a high performance environment
• Strong attention to detail
• Confident and analytical