Sales Compliance Administrator MMH261002-3

Role Purpose

To provide administrative support relating to regulatory requirements within the Sales Call Centre environment ensuring Representative fit & proper requirements & obligations are met.

Requirements

• Matric
• FAIS regulatory knowledge
• RE1 advantageous
• 3–5 years’ experience in FSP licensing [for Brokerages], regulatory compliance, or financial services
• Experience dealing with regulatory requirements and licence [RE] applications
• Experience monitoring compliance and maintaining regulatory records
• Good understanding of FSP licensing and FAIS requirements
• Knowledge of regulatory compliance and monitoring processes
• Understanding of licence conditions, regulatory submissions, and record keeping

Duties and Responsibilities

• Monitor fit and proper requirements and CMS accreditation requirements.
• Manage Financial adviser fit and proper competency which includes RE5, accreditation renewals, representative amendments, applicable brokerage registers and related records.
• Manage and update fit and proper and conflict of interest register.
• Track regulatory changes from Compliance team and Implement on the day to day operations.
• Maintain accurate compliance documentation.
• Liaise with internal stakeholders: Compliance & Risk.
• Provide regular licensing and compliance updates to management.

As an applicant, please verify the legitimacy of this job advert on our company career page.-346021296