Jobs at Sanlam – Risk Replacement Monitor

Website Sanlam

Job Description:

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.

Job Responsibilities:

  • Signing off on relevant documentation required
  • Identify and coordinate training where needed
  • Pro-active monitoring of practices and replacement business cases submitted by intermediaries
  • Compliance recordkeeping and reporting
  • Tracking, interpreting, and communicating trends and gaps in terms of compliance risks identified and manage or coordinate corrective actions in partnership with relevant partners
  • 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

Job Requirements:

  • Technical Professional Skills
  • Record of Advice
  • Sales related tools (Sanfin, S.Net and Suite etc.)
  • Communicates effectively
  • Action Orientated and work well under pressure
  • Analytical and attention to detail
  • Auditing and forensic practices and process
  • Compliance complaints process
  • Decision Making
  • Risk management policies, practices, and processes
  • Policy Replacement Rules

Qualification & Experience:

  • Investment and Risk Product Accreditation
  • Other industry related qualifications will be advantageous
  • Relevant Commerce Degree and/or Diploma
  • Valid driver’s license with own reliable motor vehicle
  • Post Graduate Diploma in Financial Planning will be advantageous (or in process)

Job Details:

Company: Sanlam

Vacancy Type:  Full Time

Job Location: Bellville, Western Cape, SA

Application Deadline: N/A

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