Quality and Risk Consultant at Sanlam

🗏Job Type

Full Time

About the Position

What will you do?

Undertake to fully understand the content and impact of all the relevant Compliance related legislation and requirements for the Financial Services Industry
Demonstrate high levels of technical and product knowledge (including investment) so as to be in a position to assess correct advice and product/need matching for clients
Undertake to train and coach Financial Advisers and management on areas of compliance and related legislation that require focus or attention as and when necessary
Liaise on an ongoing basis with Group Compliance as well policy, process changes or initiatives/actions that need to be implemented within the unit/region.
Ensure that all compliance practices and procedures within unit is strictly observed in terms of disclosures, advice given, records kept, and ethics/behaviour undertaken when dealing with clients and undertaking sales.
Undertake to sign-off required documentation from a compliance perspective within the unit.
Undertake ongoing pro-active monitoring of practices and cases submitted by Financial Advisers.
Track, interpret and communicate trends or gaps in terms of risks within the unit (SFA)
Liaise and co-ordinate with Head Office Compliance Department who undertake similar random sampling for assessment to lift problem areas and highlight trends.
Keep records of all risk and problem areas for both individuals and the unit in general. Report these back to management regularly for awareness and action.

Undertake to write and submit the required Risk Reports required for the unit (SFA)
Take overall accountability for the Compliance Complaint register and resolution process. Ensure all complaints are logged, investigated properly and resolved according to due process. Undertake to do the necessary reporting and record keeping thereof.
Working closely with line management and the FAs, ensure that all advice facing intermediaries and management are fit and proper FAIS accredited and keep the requirements and credits up to date at all times.
Coordinate FAIS training with Compliance officer.
As required from time to time, work closely with Forensics and Finance to investigate any suspect business submission, practices or risk areas flagged
Build relationships and networks within the Financial Services Compliance arena (ASISA etc.) to keep updated and influential on matters pertaining to the role.
What will make you successful in this role?

Qualification & Experience:

Valid driver's license with own reliable motor vehicle.
Matric or equivalent qualification
Investment and Risk Product Accreditation
Commercial or business related diploma/degree
CFP/RFP3
RE exam
Financial services, distribution/sales experience
Marketing Manager or BDM
Strong administration, systems, process orientation/background
Knowledge of MS: Office (Word, PowerPoint, EXCEL); Compliance Tools (i.e.: ALPHA, RITA); [URL Removed] and Suite.
Business Management:

Compliance related regulations and legislation (FAIS, FICA, Money Laundering etc.)
Compliance Complaints process
Audit/Forensic practices and process
Risk management policies, practices and processes (including Reporting)
Sanlam Products (including Investments)
Sales Advice process and compliance governance related to this
Policy Replacement Rules
Record of Advice
Personal Qualities:

Technical knowledge
Analytical thinking
Decision making
Work standards
Coaching
Business acumen
Influencing
Communication
Continuous learning
Results driven
Building and maintaining relationships
Treating customers fairly


Apply Here http://bit.ly/2G5KJHC

Job id : , #71394, 22 views,

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