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    • Compliance Specialist (1st Line Monitoring) at Liberty Group South Africa

    Posted: Mar 17, 2020
    Deadline: Not specified
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  • Compliance Specialist (1st Line Monitoring)

    Key Responsibilities

    • Ensuring that Tied Sales Operations adhere to Compliance rules and regulations, and other Operational Standards.
    • Conducting supervision audits on an ongoing basis which includes in- depth analysis and feedback to all stakeholders for the Sales Division
    • Responsible for implementation, maintenance and monitoring of Compliance Monitoring standards for Tied Sales Operations Support function including related Liberty Systems e.g. Blueprint, SRS and Qlikview
    • Assisting Regional Managers and Branch/Sales Managers with the interpretation of regulations and legislation in the Long Term Insurance Sector
    • Providing ongoing feedback to Senior Management (Head of channel, Regional heads, Branch /sales Managers, HR Business partners) on problems, issues and provide solutions  
    • Assist Business Principles in the Recruitment and Contracting process of new advisors.
    • Manage and track remediation of all advice related compliance, fraud, audit findings
    • Collaborate with group compliance to facilitate debarment

    Qualifications:

    • A relevant tertiary qualification or NQF 5 Wealth Management Diploma.
    • RE5

    Experience

    • 2-5 years relevant industry experience within Financial Services with in-depth exposure to the Sales and Compliance process.
    • Understanding of the legislative environment as it applies to financial planning
    • Product knowledge Industry knowledge Understanding of business objectives and strategies
    • Systems knowledge – Blueprint, SRS, workflow, ilanga,  Qlikview, MS Office
    • Sales cycle knowledge
    • Organization awareness

    Competencies:

    • Problem-solving and analysis skills
    • Client orientation
    • Persuasiveness and influencing
    • Conflict handling
    • Planning & organising
    • Resilience
    • Sense of urgency

    If you have not had any feedback within 2 weeks of submitting your application - please consider your application unsucessful

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    Method of Application

    Interested and qualified? Go to www.linkedin.com to apply

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