Saturday , January 28 2023

Sanlam Careers Pretoria – Assistant Compliance Officer

Website Sanlam

Job Description:

The Assistant Compliance Officer will be responsible for implementing and enforcing the organisation’s or business units’ compliance program, consults on an on-going basis with Operational Managers. Ensures conformance with applicable laws and regulations covering diverse fields. Performs statistical sampling and monitoring.

Job Responsibilities:

  • Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviour.
  • Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
  • Analyse and comment on draft legislation
  • Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
  • Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
  • Assist with the compilation and submission of the quarterly and annual FSCA reporting relating to FAIS and CISCA
  • Assist in monitoring compliance with applicable legislation and internal requirements with a specific focus on Collective Investment Schemes and compliance with CISCA and Regulation 28, Financial Intelligence Centre Act, Financial Advisory and Intermediary Services Act and POPIA.
  • Review and comment on draft Supplemental Deeds
  • Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and other regulatory issues

Job Requirements:

  • Compliance and legal projects management
  • Degree or Diploma with 4 to 5 years related experience or qualified by experience.
  • Compliance monitoring and reporting
  • Risk Management
  • Compliance advice and training
  • Documentation reviews

Qualification & Experience:

  • Relevant tertiary qualification
  • Certificate in Compliance Management would be an advantage
  • A minimum of 4 years’ experience in the Collective Investment Schemes environment and working experience with regards to the Collective Investments Control act and sub-ordinate legislation
  • Financial Advisory and Intermediary experience will be advantageous

Job Details:

Company: Sanlam

Vacancy Type:  Full Time

Job Location: Cape Town, Western Cape, South Africa

Application Deadline: N/A

Apply Here

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