Business Unit : Operations
Location : Ferndale, Randburg
Direct Report : General Manager
Indirect Report / s : Managing Director and Chief Executive Officer
Job Purpose :
Proactively address factors that expose the organisation to any reputational damage, professional liability and / or non-compliant business activities by enhancing staff members operational skills and knowledge through communication, counseling and coaching interventions.
Plan, implement and monitor Compliance Performance Standards (CPS) within the business and independent franchisees. The implementation of CPS must meet the organisation’s implicit obligations in adherence to the FAIS legislations and the Continuous Professional Development of staff members as mandated from the FSCA.
Provide each staff member with effective learning resources to acquire the mandatory qualifications within the legislated timeframes.
CPS must enhance direct & ongoing supervision activities, drive awareness of the CPS, Fit & Proper requirements and the Organisation’s Professional Standards.
Tasks and responsibilities include but not limited to :
Add new members onto the FSCA Central Rep Register when a new member is employed or contracted
Ensure new members are registered on the right licenses numbers and on the right FSCA Categories
Identify and list staff members who did not pass the FSCA Regulatory Exam for Representatives and their Date Of First Appointment (DOFA) is more than eighteen (18) months ago
Identify and list staff members without fully FAIS accredited qualifications and their Date Of First Appointment (DOFA) is more than fifty-four (54) months ago
Plan and coordinate monthly supervision schedules with management :
Ongoing supervision
Direct supervision
Plan exam and qualification timetables with staff members who are not fully qualified as yet
Document and conduct skills gap training and coaching sessions with allocated staff members
Update the ongoing and direct supervision staff list spreadsheet
Remove members from the FSCA Central Register on termination of their contract by resignation or disqualification
Initiate debarment procedures for members who transgress fit & proper rules and regulations while registered under the company’s FSP license
Identify failures in the following performance areas handled by staff members :
Sound Financial Product knowledge
Financial Needs Analysis
Communication of value and benefits with clients
Disclosure of all costs to clients and exclusions
Telephone etiquette
Empathy
Tone of voice
Observe, analyse and determine learning outcomes for allocated staff members
Combine and collaborate existing & new e-learning material with traditional learning material to enhance knowledge and learning content
Comple, capture and customise learning material onto an online Information Management System (Moodle) to achieve effective E-Learning capabilities
Compare indicators of actual performance against overall learning department’s objectives
Actively encouraging, mentoring, coaching, and supervising employees to promote compliant behaviour.
Formally raising with staff members any inadequacies needed to achieve compliance
Escalate staff members with continuous performance failures to management
Create a shared Supervision Information Dashboard with Key Performance Indicators
Research and implement programmes to address failures :
Preventative learning programmes
Recovery learning programmes
Accountable for Supervision Document System controls :
DOFA Reports
Section S13 Certificate
Coaching & Counselling
Identity document
Qualifications
Background checks (Criminal & ITC)
Coaching documents
Counseling documents
Employee and Franchisee contracts
Actively participating in the management and resolution of compliance related incidents and issues.
Education
Higher Certificate in Short Term Insurance (NQF Level 5)
Passed FSCA Regulatory Exam for Representatives
Advantageous :
NQF Level 6 (or higher) qualification in Risk Management
Experience
5 years of experience within a Short-Term Insurance brokerage firm
3 years of experience in a Sales Team Leader, Training or Supervisory role
Skills
Communication (Verbal & Written)
Interpersonal
Intrapersonal
Coaching, Training & Mentoring - Transfer skills
Presentation
Conflict resolution
Computer literate (MS Office Suite & G-Suite)
Report writing
Critical thinking
Creative thinking
Knowledge
Insurance, FAIS, POPI, KYC & TCF Acts
Comprehensive Personal-Line and Commercial-Line insurance policy wordings
Multiple Short Term Insurer product wordings 
