Compliance Officer II - Tygervalley at Sanlam Group

What will you do?

• Assist  the Senior and/or Head Compliance Officer to establish and maintain a robust compliance function within the risk management framework of the business according to key regulations
• Formulate, adapt, initiate, maintain and implement policies and procedures on various key regulations as required
• Drafting, maintaining and enhancing Compliance Risk Monitoring Plans (“CRMPs”) and determining the amount, frequency and type of monitoring needed to satisfy the CRMPs
• Incorporating new legislation into existing structure
• Monitoring compliance and adherence with rules, regulation, policies, procedures and limits and recommendations for any enhancements
• Act as an independent reviewer to identify areas of potential compliance vulnerability and risk and to develop or implement corrective action plans for resolution and pro-actively find business solutions as required  
• Development and maintenance of systems and tools to support the compliance function

What will I do? Continues

• Compliance Static Data Management
• Ensure regulatory and compliance deadlines are met
• Assist the Senior and/or Head Compliance Officer when liaising with regulators
• Assist the Senior and/or Head Compliance Officer with rolling out training to employees on compliance and new legislation
• Ad hoc tasks as required

Knowledge and Skills

• Working knowledge and application experience of Financial Markets Legislation is key
• Key Acts: FAIS (essential), JSE Rules and Directives (essential), Advantageous supplementary experience: FICA/AML, FATCA, POPIA, Regulation 28 etc.
• Strong Computer literacy skills in MS Office and JSE BDA system knowledge essential
• Excellent numeracy skills
• Technical understanding of financial products and instruments advantageous
• Research and due diligence skills
• System automation skills (Innovative ideas on possibility to automate processes/procedures)
• Ability to understand broader business issues, to apply holistic insight and acumen in integration of processes

Personal Attributes

• This person needs to be assertive, self-motivated and have a strong achievement drive, committed to  personal and organisational success
• A mastery of time management, prioritising and planning is key in this role as a result of the diversity of the role and the large number of tasks
• Ability to work independently with minimum oversight and a high regard for accountability
• Strong, proven analytical and logical thinking skills
• Excellent communication skills (verbal and written) and report writing skills
• Strong administrative and organisational skills with acute awareness and appreciation of accuracy, detail, demands and deadlines
• Pro-active and a lateral thinker with a solutions-based approach when interpreting regulation
• Ability to operate within a high performance environment, resilient and pressure tolerant

Personal Attributes - Continues

• Sound independent decision/judgment making and reasoning under pressure
• Excellent negotiation skills and ability to influence
• Operate at both a detailed and strategic level, with an ability to implement
• Fiduciary responsibility (High ethical standards to act in the best interest of clients and the business)
• Value for truth, honesty and transparency (clear and direct but diplomatic) and dependable
• Ability to learn quickly and think outside the box and be adaptable
• Friendly and professional, with a positive enthusiastic attitude