Compliance Manager

at  Sanlam

WHO WE ARE?

Sanlam Collective Investments (SCI) was established in 1967 as a full Sanlam subsidiary. Sanlam Collective Investments manages funds f about R280 billion on behalf of more than 250 000 investors. Other renowned financial services companies have also partnered with us to offer third-party funds. In these cases, the third-party funds are distributed and promoted by respective financial services companies, whereas Sanlam Collective Investments is responsible for client administration and compliance.

KNOWLEDGE AND SKILLS

Compliance and legal projects management
Compliance advice, training and documentation reviews
Regulatory compliance reporting and monitoring
Coaching and mentoring of less experienced compliance employees
Risk management

Minimum requirements:

• BCom, LLB or similar Degree from an accredited University or a related discipline.
• At least 6 years or more of experience within investment management, compliance, and collective investment schemes

• Develop and maintain an in-depth understanding of the Collective Investment Schemes Act, Pension Fund Act, Financial Intelligence Centre Act and Related Legislation.
• Manage the operational embed of the regulatory universe.
• Develop a pre-trade compliance monitoring framework.
• Embed Conduct risk and all related legislation.
• Engage with regulators (FSCA and ASISA).
• Develop and execute testing plans for the Collective Investment Schemes Act, Financial Intelligence Centre Act, and related Sanlam Group Policies.
• Manage SCI risk, compliance, and Anti Money Laundering risk management plans for implementation and testing.
• Consolidate and roll out new legislation and regulatory notices into business.
• Ensure that relevant board signoffs are obtained in line with regulatory notices.
• Ensure that regulatory deadlines are met.
• Work with the various teams within the business to ensure that controls are in place in adherence to legislative requirements.
• Manage reputational risk through the embedment of solid operational compliance controls.

Minimum requirements:

• BCom, LLB or similar Degree from an accredited University or a related discipline.
• At least 6 years or more of experience within investment management, compliance, and collective investment schemes.