Risk Replacement Monitor (Bellville) (Re-run) at Sanlam Group

What will you do?
This role will be part of the Legal Services team in Distribution Support business area. The incumbent will be responsible to effectively promote, monitor, and drive intermediary adherence to compliance and risk management specifically in relation to replacements.

What will make you successful in this role?
Promote, monitor, and drive the effective adherence of Compliance and Risk Management through:

• Pro-active monitoring of practices and replacement business cases submitted by intermediaries   
• Ensuring that all compliance practices and procedures are strictly adhered to in terms of disclosures, advice given, recordkeeping and ethical behaviour when dealing with clients and conducting sales
• Tracking, interpreting, and communicating trends and gaps in terms of compliance risks identified and manage or coordinate corrective actions in partnership with relevant partners
• Compliance recordkeeping and reporting
• Signing off on relevant documentation required 
• Identify and coordinate training where needed

Qualification and experience

• Valid driver’s license with own reliable motor vehicle

Minimum qualifications:

• Relevant Commerce Degree and/or Diploma
• Post Graduate Diploma in Financial Planning will be advantageous (or in process)
• Investment and Risk Product Accreditation 
• Other industry related qualifications will be advantageous

Knowledge and skills

• Financial services industry and market knowledge
• Sanlam product knowledge (including investments)
• Knowledge of content and impact of all the relevant compliance related legislation and requirements for the Financial Services Industry
• Financial Planning and sales processes and governance
• MS: Office (Excel, Word, PP, Outlook)
• Sales Advice process 
• Sales related tools (Sanfin, S.Net and Suite etc.)
• Auditing and forensic practices and process 
• Compliance complaints process
• Risk management policies, practices and processes
• Policy Replacement Rules
• Record of Advice

Personal attributes

• Decision Making
• Communicates effectively
• Technical Professional Skills
• Analytical and attention to detail 
• Action Orientated and work well under pressure
• Continuous Learning
• Professional and ethical
• Demonstrates self-awareness
• Core competencies
• Customer Focus
• Collaborates
• Cultivates Innovation
• Drives Results
• Being flexible and adaptable

Closing Date: 8th, April 2022