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Quality and Risk Consultant: RA SanlamConnect Intermediaries Cape Region (Bellville)Date: 3 Jul 2024
Location: Bellville, Western Cape, ZA
Who are we? Sanlam, is dedicated to supporting, growing and empowering clients with affordable, easy and suitable solutions, primarily through face-to-face intermediary channels, but also directly. We have approximately 2,000 tied advisers and 2,000 supporting independent brokers, all dedicated to meet the financial needs of our clients. Our vision: We aspire to be the best at building enduring relationships by connecting clients with Sanlam. We create sustainable value by attracting new clients, supporting ongoing client engagement and providing adaptive solutions designed to answer life's financial questions. ULTIMATELY, WE EMPOWER PEOPLE TO BE FINANCIALLY CONFIDENT, SECURE AND PROSPEROUS.
• 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?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
• Cultivates innovation
• Client centricity
• Results driven
• Collaboration
• Flexibility and adaptability
• Business Insight
• Decision quality
• Persuades
• Optimizes work processes
Personal Attributes Communicates effectively - Contributing independently
Tech savvy - Contributing independently
Action orientated - Contributing independently
Interpersonal savvy - Contributing independently
Persuades - Contributing independently
Build a successful career with usWe're all about building strong, lasting relationships with our employees. We know that you have hopes for your future – your career, your personal development and of achieving great things. We pride ourselves in helping our employees to realise their worth.Through its five business clusters – Sanlam Fintech, Sanlam Life and Savings, Sanlam Investment Group, Sanlam Allianz, Santam, as well as MiWay and the Group Office – the group provides many opportunities for growth and development.
Core Competencies Collaborates - Contributing independently
Being resilient - Contributing independently
Drives results - Contributing independently
Cultivates innovation - Contributing independently
Customer focus - Contributing independently
Turnaround time• The closing date for applications is 16 July 2024
The recruiter reserves the right to withdraw the advertisement prior to the closing date or to allow further applications to be submitted after the closing date indicated.
The shortlisting process will only start once the application due date has been reached. The time taken to complete this process will depend on how far you progress and the availability of managers.
Our aim is to help you build a successful career with us
We're all about building strong, lasting relationships with our employees. We know that you have hopes for your future – your career, your personal development and of achieving great things. We pride ourselves in helping our employees to realise their worth. Through its business clusters – Life and Savings, Sanlam Emerging Markets, Sanlam Corporate, Sanlam Investment, Santam, as well as the Group Office – the group provides many opportunities for growth and development.
Our commitment to transformation The Sanlam Group is committed to transformation and embracing diversity. This commitment is what drives us to achieve a diverse, inclusive and equitable work environment as we believe these are key components to ensuring a thriving and sustainable business in South Africa.
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