As a Compliance Administrator, you will be responsible for ensuring adherence to regulatory requirements and industry standards within the financial services sector. Your duties will involve tracking trends, managing complaints, and gatekeeping new business submissions for compliance reviews.
Key Responsibilities:
- Gain comprehensive knowledge of relevant legislation and regulatory requirements in the financial services industry.
- Enforce strict adherence to compliance practices and procedures, including disclosures, record-keeping, and ethical conduct when interacting with advisers and clients.
- Monitor, interpret, and communicate trends or gaps in risk within the business.
- Provide support for the complaints register and resolution process, ensuring proper logging, investigation, and resolution of complaints.
- Gatekeep and monitor new business submissions for compliance review.
Qualifications and Experience:
- Matric qualification or equivalent.
- One to two years’ experience using Sanfin and CommPay platforms.
- Completed diploma/degree in Commercial, Financial, Legal, or a related business field.
Knowledge and Skills:
- Experience in an advice gatekeeping role preferred.
- Proficiency in MS Office.
- Familiarity with lodging and suspense review processes.
- Basic knowledge of IT/systems operations.
- Understanding of the Financial Services Industry.
- Knowledge of relevant regulatory legislation and compliance.
- Familiarity with financial service products (including Sanlam and competitors).
Competencies:
- Cultivates innovation.
- Client-centric approach.
- Results-driven mindset.
- Collaboration skills.
- Flexibility and adaptability.
- Effective communication.
- Action-oriented approach.
- Ability to optimize work processes.
Personal Attributes:
- Effective communication skills.
- Sound decision-making ability.
- Action-oriented mindset.
- Skillful at optimizing work processes.
Join our team and embark on a journey of growth and development while contributing to our commitment to regulatory compliance and ethical conduct in the financial services industry.
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