SanlamConnect is dedicated to supporting, growing, and empowering clients with affordable, easy andsuitable solutions, primarily through face-to-face intermediary channels, but also directly. We haveapproximately 2, 000 tied advisers and 2, 000 supporting independent brokers, all dedicated to meet thefinancial needs of our clients. Our vision: We aspire to be the best at building enduring relationships byconnecting clients with Sanlam. We create sustainable value by attracting new clients, supporting ongoingclient engagement, and providing adaptive solutions designed to answer lifes financial questions.ULTIMATELY, WE EMPOWER PEOPLE TO BE FINANCIALLY CONFIDENT, SECURE AND PROSPEROUS
What will you do?
This role will be part of the Legal Services team in Distribution Support business area. The incumbent will be responsible to effectively promote, monitor, and drive intermediary adherence to compliance and risk management specifically in relation to replacements.
What will make you successful in this role?
Promote, monitor, and drive the effective adherence of Compliance and Risk Management through:
Pro-active monitoring of practices and replacement business cases submitted by intermediaries
Ensuring that all compliance practices and procedures are strictly adhered to in terms of disclosures, advice given, recordkeeping and ethical behaviour when dealing with clients and conducting sales
Tracking, interpreting, and communicating trends and gaps in terms of compliance risks identified andmanage or coordinate corrective actions in partnership with relevant partners
Compliance recordkeeping and reporting
Signing off on relevant documentation required
Identify and coordinate training where needed
Qualification and Experience
Valid drivers license with own reliable motor vehicle
Minimum Qualifications
- Relevant Commerce Degree and/or Diploma
- Post Graduate Diploma in Financial Planning will be advantageous (or in process)
- Investment and Risk Product Accreditation
- Other industry related qualifications will be advantageous
Financial services industry and market knowledge
Sanlam product knowledge (including investments)
Knowledge of content and impact of all the relevant compliance related legislation and requirements forthe Financial Services Industry
Financial Planning and sales processes and governance
MS: Office (Excel, Word, PP, Outlook)
Sales Advice process
Sales related tools (Sanfin, S.Net and Suite etc.)
Auditing and forensic practices and process
Compliance complaints process
Risk management policies, practices, and processes
Policy Replacement Rules
Record of Advice
Personal Attributes
Decision Making
Communicates effectively
Technical Professional Skills
Analytical and attention to detail
Action Orientated and work well under pressure
Continuous Learning
Professional and ethical
Core Competencies
Cultivates innovation - Contributing independently
Customer focus - Contributing independently
Drives results - Contributing independently
Collaborates - Contributing independently
Being resilient - Contributing independently
Build a successful career with us
Were 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.
Our commitment to transformation
The Sanlam Group is committed to transformation and embracing diversity and our employment equity planand targets will be considered as part of the recruitment process. This commitment is what drives us toachieve a diverse workplace with employment equity as a key goal to create an inclusive workforce, representative of the demographics of our society as well as people with disabilities.
