Key Individual - FAIS/Compliance

Recruiter:

Belmar Personnel

Job Ref:

Key Individual

Date posted:

Thursday, December 8, 2022

Location:

Pretoria, South Africa

Salary:

340 - 360K

SUMMARY:
Key Individual

JOB DESCRIPTION:

Purpose of the job:
Qualified Key Individual to manage and oversee the FAIS and sales related activities of the FSP
Key Stakeholders:
Internal
CEO, Regional and Area Managers, Branch Operations, IT, HR, Compliance
External
FSCA, External FAIS Compliance Officer and Training Service Provider
Outputs / Responsibilities:
1	Manage and oversee the FAIS related and sales activities of the FSP and ensure operational ability is maintained.
2.	Supervision of the Reps.
3	Provide sound advice and support to business on relevant Compliance risks.
4	Monitor and evaluate internal FAIS programmes and policies and recommend improvements where required.
5	Conduct Fieldwork (most online and some external) to identify and document risks and controls, and assist with corrective actions where required
6	Ensure correct and appropriate processes were implemented in line with the principles of TCF
7	Not only maintain own CPD hours diligently but also monitor same for Reps.
8	Maintain Rep register.
9	Liaise with management regarding monitoring findings and recommended solutions
10	Cultivate and manage positive working relationships with FSCA and submit relevant reports timeously
11	Draft and maintain Compliance trackers where required.
Competencies:
Strategic thinking		Stakeholder orientation
Operational ability		Customer centricity
Results-orientation		Effective communication
Self-driven		Team orientation
Decision Making		Time-management
Change facilitation		Leadership
Qualification Requirements:
RE1 and RE 5 registered Key Individual.
Compliance qualification an added advantage
Experience
Working knowledge and experience of FSCA/FAIS in the microlending / insurance / financial services industry.
Knowledge and experience of NCA, POPI and AML an added advantage Must be able to communicate in Afrikaans

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

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Key Individual - FAIS/Compliance

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