Glacier by Sanlam brings together leading experts and respected financial services companies to meet clients’ investment needs.
We deliver focused investment services through specialist teams, partner with acclaimed financial intermediaries and pride ourselves on our superior products and solutions and high quality service.
We offer a comprehensive range of investment solutions, designed to assist in the creation and preservation of wealth. Our offering encompasses local investments, including fixed term investments and investments with guarantees, international investments, retirement saving solutions, and retirement income solutions.
While each solution has its own distinct purpose, they all share the world-class quality and commitment that have come to distinguish Glacier.
What will you do? Ensures that the business units or specific field (i.e. private banking, corporate banking), at the organisation's level, comply across a broad spectrum of specific regulatory requirements.
Provides consultation to internal management and could consult to external clients. May provide expert testimony before legislative and regulatory bodies.
Monitors compliance through various means including statistical sampling. Provides regulatory compliance reports to management.
What will make you successful in this role? Job purpose The Compliance Officer is responsible for assisting the Head of Compliance in ensuring the implementation and maintenance of an effective and well-monitored regulatory compliance framework within Glacier and its subsidiaries, with a specific focus on Life Investments.
Key outcomes The following outcomes will be expected to be achieved by the Compliance Officer.
Implementation and maintenance of the compliance framework and processes
Compliance risk assessments and development of compliance risk management plans
Developing compliance monitoring plans
Conducting compliance monitoring
Compilation of internal and external compliance reports
Implementation of remedial action
Review regulatory training material to ensure that training requirements are met
Provide compliance training
Presenting to and engaging the relevant business areas on compliance feedback and corrective action
Liaising with regulators and participation in industry forums
Provide guidance on regulatory developments and group policies
Supervision of compliance officers Qualifications and experience
FSCA recognised qualification
FSCA approved FAIS Compliance Officer
Approval for Life Investments would be advantageous
Member of the Compliance Institute of Southern Africa Certified Compliance Officer designation would be advantageous
Minimum of 3 years in compliance in life investments Competencies
In depth understanding of Life Investments legislation
Ability to work well under pressure, independently and as part of a team
Communication (both written and verbal)
Negotiation / Influencing
Analytical thinking and problem solving
Leadership and self-confidence
Client service orientation
Attention to detail
Planning and organising Attributes
Honesty, integrity and respect
Positive, enthusiastic attitude
Ability to thrive under pressure Qualification and Experience Degree with 3 to 4 years related experience Knowledge and Skills Compliance and legal projects management Compliance advice, training and documentation reviews Regulatory compliance reporting and monitoring Coaching and mentoring of less experienced compliance employees Risk management