R HIGHLY NEGOTIABLE PLUS ANNUAL PERFORMANCE BONUS
Our client is committed to quality investments that are sophisticated but simply structured and competitively priced. The company is part of the group, which for over 8 decades has been the trusted financial partner for graduate professionals in South Africa. Unlike a company that is listed on a stock exchange, the company belongs to its members and operates under the ethos of mutuality. This means that qualifying members can exclusively share in the profits of the group, through the unique company profit-share account. The company exists to create and grow the wealth of graduate professionals and their families to live the lives they want in a world worth living in. They offer diversified and flexible investment solutions that are mutually beneficial to their clients in the long run because they believe that success is better shared.
They now seek a operations compliance consultant to join their retail operations team. You will report to the head of retail operations.
JOB DESCRIPTION WILL INCLUDE BUT NOT BE LIMITED TO:
- You will be responsible for driving compliance and ensuring departmental compliance adherence;
- You will be required to review, amend, improve, design, document and store compliance processes as well as learning and develop compliance material. Monitoring daily compliance and developing controls for monthly compliance reporting;
- You will be required to review, amend, improve, design, document and store compliance processes including all FICA, ATM and Compliance BAU material, as well as learning and develop compliance material;
- You will be required to document controls and RMCP, standards and processes;
- You will be responsible for pro-active responses to any BAU compliance concerns or operational deviations;
- You will be required to monitor daily FICA and ATM alerts and put in place controls for identifying and reporting;
- You will be responsible for all compliance alerts and controls being attended to accurately and appropriately;
- You will be responsible for monthly compliance report errors to be submitted to group compliance;
- You will be required to identify opportunities to participate in the company’s compliance initiatives and define and drive outcomes;
- You will be required to ensure the individuals, operational teams and departmental compliance adherence.
CORE COMPETENCIES REQUIRED, BUT NOT LIMITED TO:
- You are client centric;
- You have excellent communication (written and verbal) skills in English’;
- You have great analytical thinking skills;
- You have honed problem solving skills;
- You have a keen eye for detail;
- You are able to build and maintain relationships;
- You have superior planning and organising skills;
- You are resilient;
- You have team success;
- You are performance and results driven.
CORE QUALIFICATIONS AND EXPERIENCE:
- You have a bachelor’s degree (business management / economics / investments) or similar – this is essential;
- You have a certificate in compliance this would be a distinct advantage;
- You have a minimum of 2 – 4 years’ current, relevant experience in a similar role – this is essential;
- You have experience within client services and operations environment within the financial services/ LISP/ Asset Management environment – this would be a distinct advantage;
- You have knowledge of financial services industry; investments / LISP/ asset management environment.
- You have knowledge on all applicable legislation (e.g., FICA / FAIS, FATCA, TCF, POPIA etc.);
- You have knowledge and experience in operations/client services / contact centre environment;
- You have systems knowledge on MS Office;
- You have excellent knowledge in MS Excel, MS Word, and MS Teams;
- You are proficient in Power BI, Flexcube, Visio (or similar);
- You are fully competent in a CRM system.
Great role – superb team – outstanding manager. Rewards are very good on performance.