Compliance Officer
Sanlam
Cape Town, Western Cape, ZA
5d ago
source : Latest Jobs

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
  • Relationship building
  • Communication (both written and verbal)
  • Initiative
  • Negotiation / Influencing
  • Results oriented
  • Analytical thinking and problem solving
  • Leadership and self-confidence
  • Client service orientation
  • Presentation skills
  • Computer literacy
  • Attention to detail
  • Planning and organising Attributes
  • Honesty, integrity and respect
  • Positive, enthusiastic attitude
  • Team player
  • 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
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