Vacancy - Compliance Officer

Vacancy - Compliance Officer
Published: 08 September 2017

Job Purpose

To provide a comprehensive Compliance advisory, controlling, monitoring and education service for Sanlam Capital Markets Limited (SCM), Sanlam Structured Solutions (Derivatives)
and Sanlam Properties, working closely with business divisions to promote an appropriate Compliance culture to assist the company to remain compliant with:

    FAIS, FMA, FSR,FICA, POCDATARA, JSE/SAFEX, BESA and associated obligations;
    and SCM's Risk & Compliance policies and procedures.

Key Responsibilities:

    Maintain close contact and liaise with the relevant regulatory bodies on an ongoing basis i.e. JSE,FSB, SARB etc.
    Maintain sound relationships with all the relevant internal stakeholders i.e. liasing with Equities and Debt Front Office, Middle Office and Back Office.
    Compliance reporting i.e. written reports to management and various committees.
    Training of employees on compliance issues and new legislation.
    Compliance Management enablement which includes the implementation of compliance controls , processes and procedures to manage Compliance within business and on instruction from Group,assisting with Group Compliance projects.
    Establishing, updating Compliance Manual & Code of Ethics - incorporating new legislation applicable to the business of an equities member.
    Determine statutory and management requirements applicable to particular business areas.
    Drawing up and implementing Risk Management Plans.
    Drawing up and implementing policies and procedures eg. FICA,FMA, FSR, FAIS, etc.
    Controlling FICA. 
    Monitoring compliance with rules, laws, policies, procedures and limits.
    Updating and monitoring the business continuity plans.

Essential Requirements:

    B.Comm(Law), LL.B or equivalent degree
    Must ideally be registered with the FSB as an approved Category 1 Compliance Officer and has passed the relevant SAIFM Compliance exams (particularly the following RPE modules, Introduction to the Financial Markets, Regulation and Ethics of the SA Financial Market, The Bond Market and The Derivatives Market; BESA and SAFEX)
    Experience 3-4 years post graduate experience in law with additional compliance/compliance-related experience in the financial services industry of 2-3 Years

If you are interested in this oppportunity, please email your CV  to



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