Senior Compliance Specialist : FAIS and Insurance at TLT Appointing

Job Description

• The Senior Compliance Specialist: FAIS and Insurance is responsible for assisting in developing and implementing procedures to ensure compliance with regulations/legislation affecting the business of the -- Group and advising internal business units on how to meet compliance requirements.
• The role also leads complaints received from the clients, regulators, and different ombuds; and pursues corrective actions; and notify authorities as necessary. Additionally, the Senior Compliance Specialist: FAIS and Insurance ensures business units stay informed on changes to all related regulations and assists and supports the Senior Manager
• Regulatory Compliance as and when required

Qualifications

Education:

• Relevant 3 year qualification consisting of Compliance / Legal. 

Preferred

• LLB plus a relevant Compliance Management Certificate and/or Certification. RE 1 and RE5 will be an advantage

Experience:

• 5 to 7 years’ experience in a legal, Insurance, and strong knowledge of regulatory compliance guidelines and standards within a financial services sector