Sanlam Careers Pretoria – Assistant Compliance Officer

Job Description:

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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