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

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