Compliance Administrator: SFP (Menlyn) (PG 07) at Sanlam Group

What will you do?

• Undertake to fully understand the content and impacts of all relevant legislation and requirements for the financial services industry.  
• Ensure that all compliance practices and procedures are strictly observed in terms of disclosures, advice, record keeping, and ethics/behaviour undertaken when dealing with advisers and clients.
• Track, interpret and communicate trends or gaps in terms of risks within the business.
• Support the complaints register and resolution process.  
• Ensure all complaints are logged, investigated properly, and resolved according to the due process.  Undertake to do the necessary report and record keeping thereof.
• Gatekeep and monitor new business submitted for a compliance review 

What will make you successful in this role?
Qualification & experience 

• A relevant matric qualification
• One-two years’ experience on Sanfin and CommPay 
• A completed Commercial/Financial/Legal or business-related diploma/degree 

Knowledge and skills 
To be successful you will need to demonstrate good experience in:

• Successful candidate should have at least one year’s experience in an advice gatekeeping role
• Knowledge of and experience in MS Office
• Good knowledge of the lodging and suspense review processes
• Good basic IT/systems operations knowledge 
• Financial Services Industry Knowledge 
• Relevant regulatory legislation and compliance knowledge 
• Financial Service Product Knowledge (Sanlam and competitors) 

Competencies

• Cultivates innovation 
• Client centricity 
• Results driven 
• Collaboration 
• Flexibility and adaptability 
• Plans and aligns
• Communicates effectively
• Action oriented
• Optimizes work processes

Personal Attributes

• Communicates effectively - Contributing independently
• Decision quality - Contributing independently
• Action orientated - Contributing independently
• Optimises work processes - Contributing independently
• Cultivates innovation - Contributing independently
• Customer focus - Contributing independently
• Drives results - Contributing independently
• Collaborates - Contributing independently
• Being resilient - Contributing independently