Compliance Administrator

SUMMARY:
My client, a leader in the Wealth industry is seeking a Compliance Administrator to mitigate risk fo

POSITION INFO:

My client, a leader in the Wealth industry is seeking a Compliance Administrator to mitigate risk for the company by ensuring that advisors are providing suitable advice to clients, according to client needs and risk appetite; ensuring that all advisors are Fit and Proper, and relevant documentation is completed in order for the advisors to perform their roles.

Responsibilities:

• Compliance review of all NewBusiness and Servicing cases submitted for the Group
• Submission of Fund Selection and Withdrawal cases to various providers
• Maintaining and Administering the Representative Register
• Maintaining and Administering the Competency Register (e.g.CPD and Supervision tracking)
• Fit and Proper checks for New Wealth Managers
• Ensuring all New Wealth Managersare provided with a "Starter Pack" (e.gRep Disclosures drawnup, RMCP Emails to be sent, Submission ofMasthead Applications, Drawing up of Supervision Forms)
• Ensuring all Quarterly declarations havebeen sent and received
• Assisting new Para-planners with pre-checking and training on Client Advice Records
• Assisting terms of business with various Product Providers
• Assisting re-allocation of clients when a Private Wealth Manager resigns
• Assisting Compliance Manager with complaint investigation and resolution
• Data analysis for the purpose of resolution to investigations

Requirements:

• 5 years Onshore experience in the wealth management industry, with Offshore experience (advantageous)
• Matric
• RE5
• Compliance related course/qualification
• Computer literacy (MS Word, Excel, Outlook - intermediate)
• Excellent communication skills (verbal and written)
• Analytical
• Proven ability to meet and understand compliance req

NB! This job is now closed. You can apply for other jobs by uploading your CV.