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Johannesburg: KI / Compliance Admin posted by Energy at Work Projects

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Job Description

COMPLIANCE FUNCTIONS:

  • Assist in monitoring compliance with applicable legislation and internal requirements.
  • Fulfils Compliance functions required in terms of the FAIS legislations such as monitoring and reporting to the financial services provider and the FSCA when required.
  • Identifies and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes. Escalate any concerns to business immediately.
  • Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues.
  • Maintain and update all legislative Registers bi-monthly.
  • Track and monitor all representatives FSCA Deadlines and ensure compliance, Complete FSCA exemptions when required.
  • Assist reps with completing Exemption applications.
  • Oversee SBIB Supervision and conduct monthly meetings with the supervisors.
  • Manage the PI Insurance/ Claims for projects and FSP.

Key Individual FUNCTIONS: Long Term (Sub Cat – 1.1; 1.3; 1.22)

  • Stay up to date with legislation and FSCA board notices.
  • Maintain the FSPs legislative registers.
  • Ensure the representatives remain Fit ad proper.
  • Add and remove representatives on the rep register, update the rep register with reps status changes or sub category change.
  • Create rep letters for all representatives.
  • Create supervision agreements for representatives working under supervision and conduct monthly supervision.
  • Ensuring the FSP maintains their Fit and Proper status, ensure all actions such as incentives align with the FAIS act.
  • Debar representatives who are in contravention of the FAIS act.
  • Manage the FSP relations with the Compliance practice, implement changes and policies brought to the FSPs attention by the compliance practice.
  • Manage and update the FSPs policies such as the Complaints policy, FICA policy and Business continuity policy.
  • Ensure all staff are trained on the GCOC, FICA, POPIA annually.
  • HIGS And Financial Declaration to be completed by all staff annually.
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PROJECT ONBOARDING:

  • Ensure that the content of the packs are completed as per the client requirements and that minimal back and forth is managed upfront.
  • Liaise with the various FAIS teams of the client as well as the necessary EAW personnel to manage the sign off process of the Packs.
  • Streamline processes to optimize efficiencies.

COMPANY AND CLIENT ENGAGEMENT:

  • Engage with Portfolio Managers and business leaders on compliance matters relating to all compliance matters.
  • Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
  • Execute all other functions related to the compliance mandate as delegated by the compliance officer and Compliance Manager of the client where within mandate.



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