Job Opportunities at Sanlam Group

What will you do?

This is a 12-month contract position allowing the incumbent to gain relevant work experience in the financial services industry. The individual will be exposed to training, mentoring and office administration whilst being part of an administrative team at SFP. The responsibilities will include:

• Undertake to fully understand the content and impacts of all relevant legislation and requirements for the financial services industry.  
• Identifying opportunities to optimise and innovate within the operations environment. 
• Ensure that all compliance practices and procedures are strictly observed regarding disclosures, advice, record keeping, and ethics/behaviour undertaken when dealing with advisers and clients.
• Track, interpret and communicate trends or gaps in terms of risks within the business.
• Support the complaints register and resolution process.  
• Ensure all complaints are logged, appropriately investigated, and resolved according to the due process.  Undertake to do the necessary report and record keeping thereof.
• Working closely with line management and the planners, ensuring that all advice facing intermediaries and management are fit and proper FAIS accredited and keep the requirements and credits up to date at all times.
• Provide administration support to line manager
• Gatekeep and monitor new business received 
• Administration of tax & tax calculations, account payments, administration of remuneration and reserve accounts
• Administration of adviser terminations and reintermediation 
• Provide advice with regards to policy, financing rules and debt management.
• Compile statistics with regards to financing and reports, including effective processing of statements 

What will make you successful in this role?

Qualification & experience 

• A relevant matric qualification  
• A completed three year Information Systems, Business Analytics, or Project Management related diploma/degree 
• Project Management, Change Management (advantageous)
• Preferably no or very limited previous working experience

Knowledge and skills 

To be successful you will need to demonstrate good experience in:

• Successful candidate should be unemployed
• Knowledge of and experience in MS Office
• Good basic IT/systems operations knowledge 
• Financial Services Industry Knowledge (advantageous) 
• Relevant regulatory legislation and compliance knowledge (advantageous) 

Competencies

• Cultivates innovation 
• Client centricity 
• Results driven 
• Collaboration 
• Flexibility and adaptability 
• Plans and aligns
• Communicates effectively
• Action oriented
• Optimizes work processes

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What will you do?

Provide secretarial support to the Head of Operations and his ManCo at Succession Financial Planning.

The ideal individual must have strong administrative skills and strong planning and organisation skills, be detail-orientated, structured, have good communication skills and the ability to multi-task in a high-performance culture environment.

The successful candidate will provide secretarial support to the Managing Director in terms of the following:

• Office and diary management
• Email and information management
• Travel arrangements 
• Organising and preparation of meetings; functions; presentations; conferences; workshops; satellite broadcasts, video conferences etc.
• Preparation of documents, including formatting and the distribution thereof for the above
• Minute taking
• Using electronic tools effectively. i.e. SharePoint / MS Team / MS Powerpoint / MS Word / MS Excel
• Consolidate and provide relevant reports
• Support team members with all secretarial duties
• Assist with ad-hoc requests 
• SAP S4HANA Financial payments & order supplies

What will make you successful in this role?

Qualification & Experience 

• Matric 
• Secretarial Qualification/Diploma
• Technologically advanced 
• A minimum of two years Secretarial/Personal assistant experience.
• Previous experience in an operations environment will be an advantage.
• SAP
• Travel system

Personal Qualities 

• Cultivates Innovation
• Client Focus
• Drive Results
• Collaborates
• Flexibility and adaptability
• Communication & Literacy
• Assertiveness
• Concern for accuracy and order
• Technical knowledge & skills
• Treating customers fairly (TCF)
• Stress tolerance
• Problem-solving
• Decision-making
• Managing work 

Knowledge and Skills

• Record keeping, filing and maintenance of databases
• Data Collection and processing of transactions
• Reservation Management
• Secretarial Support
• Manages various Stakeholder queries and support

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What will you do?

The primary purpose of the Risk Management function is to enable risk management in a dynamic way as to assist the organisation in making informed decisions to enable the achieving of organisational objectives. 

Key Outcomes

The following outcomes will be expected to be achieved by the Senior Risk Manager:

• Support, advise and assist management and staff across the value chain to embed risk management in line with the Glacier Enterprise Risk Management (ERM) Framework;
• Ensure that risk management processes (identify, assess, measure, respond, monitor, and report) are implemented within assigned business units/areas in line with Group requirements;
• Manage the rollout of risk policies in line with Group requirements, and review, and if necessary, challenge policy compliance attestations conducted by management;
• Monitor and challenge the adequacy and effectiveness of the risk management system and internal control environment;
• Contribute to, and if necessary, challenge the completeness of the identification of risks to the achievement of business strategy and objectives;
• Advise management and staff on developing processes and controls to proactively manage and mitigate risks;
• Challenge and advise on management actions to reduce risks to be within appetite, including as it relates to the remediation of control weaknesses;
• Investigate, analyse, and report on risk events (includes operational losses) in line with the Group requirements and advise on appropriate remedial actions to effectively address any control weaknesses;
• Prepare accurate and complete risk reports and dashboards for tabling at various governance structures (including Boards and Risk Committees) and ensure timely escalation of risks to the Cluster Risk teams;
• Collaborate with all functional areas across the business to ensure that risk management practices are integrated into all elements of the organisation’s risk management activities;
• Participate and/or execute on ad hoc risk management initiatives/ projects;
• Oversee development of the institution’s policies, procedures and controls to ensure a successful AML/CFT program;
• Identify and drive mitigation of AML/CFT risks considering the applicable AML/CFT laws and regulations that the financial institution must comply with; 
• Drive awareness training across the organisation on Risk Management, AML & Forensics; 
• Maintain effective and sound relationships across the Sanlam group;
• Provide leadership, mentorship and guidance to a high performing governance team.

Qualifications and experience

• Relevant tertiary qualification (B. Com / Certified (or progressing towards certification) Risk Management Practitioner / at least 7 years’ experience in Operational Risk Management in the Financial Services industry. 
• Computer literacy skills (MS Excel intermediate level) and knowledge of process analysis techniques essential.
• Sound knowledge and experience in governance, risk management and control principles would be an advantage. 

Competencies

• Client focus
• Cultivates innovation
• Collaborates
• Being resilient and adaptable 
• Drive results
• Attention to detail
• Managing workload
• Information gathering and monitoring
• Analytical thinking and Problem solving 
• Ability to influence risk-related decision-making

Attributes

• Positive, enthusiastic attitude 
• Ability to thrive under pressure
• Honesty, integrity and respect
• Teamwork
• Ability to work independently
• Growth mindset and empowered self
• Leadership skills
• What will make you successful in this role?
• Qualification and Experience
• Degree or Diploma with 4 to 6 years related experience.
• Knowledge and Skills
• Risk management
• Data Collection
• Business Processes
• Reporting and Administration
• Quality, compliance and accreditation

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What will you do?

• To provide and deliver an effective and comprehensive administrative support services to the Succession Financial Planning Sales Team.  
• The ideal individual must have strong administrative skills with strong planning and organisation skills, be detail-orientated, structured, have good communication skills and the ability to multitask.

Output/Core Tasks:

Provide administrative support to the Succession Sales Team in terms of the following:

• Commission Query management 
• Suspense account management
• Mail and information management
• Client liaison
• Time and priority management
• Administrative support
• Establishing and maintaining networks with key stakeholders and other administrative support staff.

What will make you successful in this role?

Qualification & experience 

• Grade 12
• Administration qualification preferable
• Experience with the financial services industry will be an advantage

Knowledge and skills 

• MS: Office (Excel, Word, Powerpoint, outlook)
• Personal qualities 
• Cultivates innovation 
• Client centricity 
• Results driven 
• Collaboration 
• Flexibility and adaptability 
• Communicates effectively
• Plans and aligns
• Action oriented
• Instils trust
• Job fit questions 

Personal Attributes

• Plans and aligns - Contributing dependently
• Communicates effectively - Contributing dependently
• Action orientated - Contributing dependently
• Optimises work processes - Contributing dependently

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What will you do?

• Assist with managing mailboxes for LISPS, Client Care and Central administration
• Check documentation, open accounts and route communication to the branches as necessary
• Liaise with relevant parties to ensure timeous resolution of all queries
• Scan and create workflows on the paper-trail system
• Ad-hoc administrative duties as and when required
• Assist with general operational processes as and when required
• Capture cost prices for scrip movements

What will make you successful in this role?

• Accuracy and detailed orientated
• Fully bilingual (English and Afrikaans)

Qualification and experience

• Financial qualification diploma or degree
• Previous experience within the Financial Services, Private Wealth or LISP Industry is essential 
• Experience working with BDA will be advantageous

Knowledge and Skills

• Computer Literacy (MS Word, Excel) with advanced Excel
• Fully bilingual (English and Afrikaans)
• Excellent organizational skills 
• Strong interpersonal skills
• Strong numerical skills
• Strong language skills

Personal Attributes

• High level of customer focus
• Accurate and detail orientated
• Critical and analytical capability
• Ability to perform well under pressure and show maturity, confidence and resilience
• Ability to adhere to tight deadlines
• Results focused with a strong sense of urgency
• Learning agility and curiosity
• Assertive
• Passionate ownership for results

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What will you do?

This is a specialist role, responsible for delivery of training (presenting sales, legal technical, skills and product category- related programmes and short courses) to SFP Intermediaries (Brokers and Advisers) and sales and support staff of SFP. 

Pre-course training administration

• Support training assistants to deliver on training, scheduling, materials, logistical arrangements etc.
• Ensure that pre-course on-line assessments are undertaken and passed by all delegates prior to attending the course
• Facilitation of training and development programmes
• Facilitate trends based training for individuals on a one-on-one basis
• Facilitate training in the online practice management and client financial needs analysis tool
• Training on navigation of SanPort, SanFin: Practice Management, Data mining & Communications, Saving Documents, E-Sign, Client Capturing/Basic Capturing & FNA Risk, FNA Investment and Retirement, Reports interpretation and ROA, SFP Web RoA and DRA, GetQuote and other SFP tools
• Facilitate various in-house training workshops including selling skills in a professional and effective manner
• Undertake ad-hoc presentations at conferences and seminars as requested by management and clients
• Coordinate, arrange and conduct regular CPD events
• Ad hoc training on regulatory updates and changes 
• Manage the supervision process, including the supervisor assessment and ensuring supervisees are supervised adequately. 
• Training assessment and feedback/report writing

Aligned to service level agreements in place:

• Administer and score learner assessments in the workshops to determine the proficiency levels of delegates.
• Complete a feedback report on each delegate after the workshop and share it with the relevant line manager
• Training material/content development
• Work closely with the project sponsors, heads of business units and training developers to undertake the research and development of training material
• Structure and write training material according to adult learning principles and in competency-based formats
• Training queries and projects
• Respond to regional queries from the business relating to training
• Serve as part of project teams, as required
• Specific role requirements
• Must be willing to travel
• Must have a valid Code 08 driver’s license
• Must have own reliable transport

What will make you successful in this role?

Qualification and experience 

• Relevant industry-related Degree/Diploma
• Post Graduate Diploma in Financial Planning qualification advantageous
• CFP designation advantageous
• Relevant Degree in Commerce/Finance/Law
• Completed Regulatory Exams
• INSETA assessor and moderator qualifications an advantage
• 2-3 years previous experience in providing financial advice to clients or in managing Financial Advisors
• 3-5 years experience in an auditing, forensics, risk management or compliance function (financial services)
• 2-3 years experience in training and facilitation (online and in-person)

Knowledge and skills 

• Ability to managing stakeholder relationships
• Interest and exposure to developing training solutions
• Knowledge and experience in the laws governing the Life Assurance industry
• Experience in practice management and client financial needs analysis tools

Core competencies

• Customer Focus
• Collaborates
• Cultivates Innovation
• Drives Results
• Being flexible and adaptable

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What will you do?

• Assist in monitoring compliance with applicable legislation and internal requirements
• Review draft mandates and investment guidelines for compliance purposes and follow up on outstanding mandates and investment guidelines
• Monitor compliance with mandates and investment guidelines within reporting timeframes to clients and management
• Perform general monitoring functions in relation business requirements 
• Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues
• Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviours

What will make you successful in this role?

• Strong regulation 28 and FAIS knowledge
• Working knowledge and application experience of Financial Markets Legislation

Qualification

• Matric with a Postgraduate Diploma in Compliance Management
• Compliance experience in an asset management environment

Knowledge and skills

• Cultivates innovation – creating new and better ways for the organisation to be successful
• Computer literate in MS Office- (JSE BDA system knowledge an advantage)

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

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What will you do?

• Assist  the Senior and/or Head Compliance Officer to establish and maintain a robust compliance function within the risk management framework of the business according to key regulations
• Formulate, adapt, initiate, maintain and implement policies and procedures on various key regulations as required
• Drafting, maintaining and enhancing Compliance Risk Monitoring Plans (“CRMPs”) and determining the amount, frequency and type of monitoring needed to satisfy the CRMPs
• Incorporating new legislation into existing structure
• Monitoring compliance and adherence with rules, regulation, policies, procedures and limits and recommendations for any enhancements
• Act as an independent reviewer to identify areas of potential compliance vulnerability and risk and to develop or implement corrective action plans for resolution and pro-actively find business solutions as required  
• Development and maintenance of systems and tools to support the compliance function

What will I do? Continues

• Compliance Static Data Management
• Ensure regulatory and compliance deadlines are met
• Assist the Senior and/or Head Compliance Officer when liaising with regulators
• Assist the Senior and/or Head Compliance Officer with rolling out training to employees on compliance and new legislation
• Ad hoc tasks as required

Knowledge and Skills

• Working knowledge and application experience of Financial Markets Legislation is key
• Key Acts: FAIS (essential), JSE Rules and Directives (essential), Advantageous supplementary experience: FICA/AML, FATCA, POPIA, Regulation 28 etc.
• Strong Computer literacy skills in MS Office and JSE BDA system knowledge essential
• Excellent numeracy skills
• Technical understanding of financial products and instruments advantageous
• Research and due diligence skills
• System automation skills (Innovative ideas on possibility to automate processes/procedures)
• Ability to understand broader business issues, to apply holistic insight and acumen in integration of processes

Personal Attributes

• This person needs to be assertive, self-motivated and have a strong achievement drive, committed to  personal and organisational success
• A mastery of time management, prioritising and planning is key in this role as a result of the diversity of the role and the large number of tasks
• Ability to work independently with minimum oversight and a high regard for accountability
• Strong, proven analytical and logical thinking skills
• Excellent communication skills (verbal and written) and report writing skills
• Strong administrative and organisational skills with acute awareness and appreciation of accuracy, detail, demands and deadlines
• Pro-active and a lateral thinker with a solutions-based approach when interpreting regulation
• Ability to operate within a high performance environment, resilient and pressure tolerant

Personal Attributes - Continues

• Sound independent decision/judgment making and reasoning under pressure
• Excellent negotiation skills and ability to influence
• Operate at both a detailed and strategic level, with an ability to implement
• Fiduciary responsibility (High ethical standards to act in the best interest of clients and the business)
• Value for truth, honesty and transparency (clear and direct but diplomatic) and dependable
• Ability to learn quickly and think outside the box and be adaptable
• Friendly and professional, with a positive enthusiastic attitude

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What will you do? 

This is a specialist role that reports directly through to the CEO: SFP. The primary purpose of the role is to undertake focused recruitment of independent Financial Planners.
Undertake focused recruitment of independent Financial Planners aligned to business needs
Undertake effective screening and selection of independent Financial Planners aligned to the requirements of the business

What will make you successful in this role? 

Qualification & experience 

• Matric or equivalent qualification
• Commercial/Marketing or business related diploma/degree (HR diploma/degree)

Knowledge and skills 

• Financial services, distribution/sales experience will be a strong recommendation 
• Experience with regards to the recruitment of staff, either in a managerial capacity and/or Human Resources capacity
• MS: Office (Word, PP, Excel); Lotus Notes and Internet search engine
• Business/Management knowledge: Good knowledge of overall company information (history, successes, value offering)
• SFP Recruitment/Selection policy, governances and practices
• Sanlam brand and image representation
• Advertising and marketing
• Manpower planning
• Targeted recruitment sources (i.e.: worksites, universities etc.)
• Candidate profiles (Competencies, skills, qualifications, demographic fit etc.)
• Knowledge of the Succession Financial Planning Advisory Services (SFP) value proposition
• Interviewing, referencing and screening knowledge and skills
• SFP contracts and contracting process
• Financial acumen for the structuring of acquisition deals

Personal qualities  

• Customer Focus 
• Cultivate Innovation 
• Drives Results 
• Collaborates 
• Being Flexible and Adaptable 
• Business Insight 
• Decision Quality 
• Plans and Aligns 
• Builds Networks 
• Communicates Effectively 
• Persuades 

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What will you do?

This role is responsible for the direct coaching, vesting, developing, supervising and performance managing of a portfolio of newly appointed financial advisers for the first 24 months (the vesting and development period) of their employ, ensuring they are retained, competent and productive as quickly as possible.

What will make you successful in this role?

Supervision and management of financial advisers during the first 24 months of employment encompassing the following outputs:

• Activity, productivity and performance management of newly appointed advisers
• Upskilling newly appointed advisers on products, technical knowledge, systems, processes, compliance, legislation etc.
• Focused Coaching and Vesting to ensure that the FA undergoes all the necessary steps, processes and requirements to become vested as quickly as possible to full productivity
• Focused Development of FA's in the different market segments i.e. Estate Planning, Investments etc.
• Recruitment of Financial Advisers
• Sourcing and vesting new advisers in Key Accounts

Qualification and Experience

• Matric
• Wealth Management/ Financial Planning qualification
• FAIS i.e. RE5 and 120 industry credits
• CFP would be an advantage
• Management/Coaching Diploma would be advantageous
• Marketing and Sales experience in the financial services industry
• 3-5 years experience as a Financial Adviser/ Planner in the middle to affluent market segment (proven track record)
• Experience in mentoring/ vesting of advisers
• Previous management role would be advantageous
• COB and CPD points

Knowledge and Skills

• Financial Services Industry and product knowledge (Sanlam and/or competitors)
• Legal technical knowledge (financial advice related and product related)
• Financial/Assurance products (broad and background)
• Management and developmental skills to manage/coach staff
• Relevant regulatory, legislation and compliance knowledge (FAIS accredited)
• Marketing/selling knowledge/skills (including 6 step sales cycle)
• Activity and performance management
• Fit and proper from a FAIS perspective to act as supervisor

Personal Qualities

• Cultivates Innovation
• Client Focus
• Drives Results
• Collaborates
• Flexible and Adaptable
• Drives Vision and Purpose
• Business Insight
• Directs Work
• Decision Quality

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What will you do?

• Activity management of representatives.
• Prospecting for Representatives.
• Production management on a daily basis concentrating on quality and quantity.
• Conducting training - Theoretical and practical in field.
• Facility liaison.
• New facility identification.

Qualification & experience

• Grade 12
• Meet the qualification requirements in line with their DOFA:
• Individuals who joined the industry prior to 2010 must have obtained their 30 or 60 credits or alternatively obtained a full qualification as per the FSCA’s list of recognized qualifications.
• Individuals who joined the industry from 2010 must have obtained a full qualification (120 Credits at NQF Level 4 for Categories B1 and B2) as per the FSCA's list of recognized qualifications at the point of recruitment.
• It would be advantageous for the individual to meet the following criteria but not compulsory: In order to register for the Retail Pensions Category the Manager must have obtained a full qualification (120 Credits. at NQF level 4 would be required and NQF level 5 would be advantageous Categories B1 and B2) as per the FSCA's list of recognized qualifications at the point of recruitment.
• RE 5 required from date of appointment

Class of business (COB):

• Should the candidate have been deemed Fit and Proper for Tier 1 by 01 April 2018, the candidate is then deemed competent for Class of Business. All applicants that were still under supervision for any competency requirement pre or post 01 April 2018 will be required to have obtained Class of Business prior to appointment. If a potential candidate has not completed Class of Business they are still deemed to be under supervision and cannot be appointed as a Sales Manager.

Knowledge and skills

• At least 2 years sales experience of which at least 1 year must be within the financial services industry (Cat B1/Cat B2/Retail Pensions)
•  A minimum of one year management experience    
•  Where the appointment is an internal appointment, past performance must be checked to ensure that all company criteria was met

Personal qualities

• Good leadership skills.
• Entrepreneurial with good business acumen.
• Strong action orientation
• Good written and verbal communication skills.
• Ability to engage digitally 
• Ability to make decisions.
• Initiative and innovativeness.
• Planning and organizing.
• Achievement orientation.
• Negotiation skills.
• Coaching and enabling skills