Specialist: Regulatory Monitoring at Liberty Group South Africa

Purpose

To provide specialist advice and support in order to implement relevant components of sales regulatory monitoring and to monitor and advise on associated compliance (or non-compliance, through the execution of predefined objectives as agreed SOPs.

Minimum Qualifications and Experience

• A relevant tertiary qualification or NQF 5 Wealth Management Diploma
• RE5 (Advantageous)
• 3-5 Years' Experience in a similar environment

Key Responsibilities

• Ensuring that Sales 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 Sales including related Liberty Systems e.g. Blueprint, SRS and Qlikview
• Assisting Regional Executives and Branch/Sales Managers with the interpretation of all applicable regulations and legislation.
• Providing ongoing feedback to Senior Management (Head of channel, Regional Executives, Branch /Sales Managers, HC 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