COMPLIANCE ADMINISTRATOR
ASI Financial Services has an exciting opportunity for a COMPLIANCE ADMINISTRATOR. This role reports to the Junior Risk and Compliance Officer and forms part of the Risk, Legal and Compliance Department providing support to a group of Financial Services Providers. We are looking for someone who is desirous to grow within a Compliance role and thus enthusiastic about Compliance.
QUALIFICATIONS, COMPETENCE AND EXPERIENCE REQUIRED
- At least 1 year compliance administration work experience in the financial services industry for a category I financial services provider – non-negotiable;
- Grade 12/Matric/Matric equivalent – non-negotiable;
- Understanding of FAIS and FICA specifically around Fit and Proper requirements, profile changes and KYC requirements– non-negotiable;
- Experience with the FSCA, FIC and CMS online processes – specifically around profile changes, renewals and applications – non-negotiable;
- Compliance or legal qualification/certification – advantageous;
- Understanding of LTIA, STIA, PPR rules, PFA and POPIA- advantageous;
- Good Excel, PowerPoint and Word abilities;
- Planning and Organising;
- Attention to detail;
- Adherence to deadlines; and
- Ability to work under pressure.
KEY RESPONSIBILITIES AND ACCOUNTABILITY
- Record keeping and filing;
- Updating and maintaining Complaints, CPD, Conflicts of Interest and Competency Registers;
- Setting up training, Compiling training registers and managing same;
- Onboarding of new representatives;
- Completion of FSCA Profile changes;
- Updating and managing details with FSCA, FIC, CMS and IR;
- Assist in reports to FIC and managing all projects relating to reporting to FIC;
- Monitroing of client files in terms of FAIS and FICA requirements;
- Management of relationship with Product Suppliers including completing application forms, updating details with Supplier, ensuring agreements are vetted, signed and returned and general Supplier due diligence;
- Conducting MIE Checks;
- Organise department operations and procedures and co-ordinating with other departments especially Human Resources to ensure compliance;
- Assist representatives with Fit and Proper training specifically the registration and applications with training institutions as well as oversight of timeous completion; and
- Miscellaneous compliance administration duties.
BENEFITS
- Market related salary, dependent on experience and skills
- Provident Fund benefit
- Gap Cover benefit
- Work from home one day a week
- The company has a variety of exciting social gatherings throughout the year
Send your latest CV and a motivational letter on why you would be a good fit for the above role to recruitment@asi.co.za