Sanlam is recruiting a Compliance Officer (Unit Trust) (m/f), to be based in Windhoek, Namibia.
Duties
- Assist in monitoring compliance with applicable legislation and internal requirements
- Review and comment on draft Supplemental Deeds
- Monitor compliance with Supplemental Deeds, NAMFISA Mandates and relevant legislative requirements
- Assist with the compilation and submission of the quarterly and annual NAMFISA reporting
- Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
- Client identification and verification process
- Identify and report cash deposits to FIC within 5 days
- Monitor cash deposits (ongoing due diligence)
- Audit function to evaluate controls- Unit Trust Statistics
- Monitor high risk clients, e.g. PEP's
- Adequate Anti-Money Laundering (AML) Risk Management Process
- Effective account and transaction monitoring - Identify, Monitor and Investigate
- Clearing of ORMS/Siron - KYC queues
Requisites
- B.com in Law, LLB or Anti-Money Laundering qualifications will be an added advantage
- 2 to 3 years working experience with Compliance and Monitoring background
- Admission as a legal practitioner in the High Court of Namibia shall be an advantage
- Preference will be given to individuals with knowledge of the unit trust industry
- Flawless command of the English language
- Assertive self-starter with excellent communication, organising and presentation skills
- Excellent conflict handling skills
- Ability to work under pressure with maintaining high service levels
- Administration oriented
- High concern for accuracy and efficiency
- Computer Literate
- Knowledge and Skills:
- Compliance monitoring
- Administration
- Quality, compliance and accreditation
- Business Processes
- Services Knowledge
- Personal Attributes
- Communicates effectively - Contributing dependently
- Decision quality - Contributing dependently
- Action orientated - Contributing dependently
- Optimizes work processes - Contributing dependently
- Core Competencies
- Cultivates innovation - Contributing dependently
- Customer focus - Contributing dependently
- Drives results - Contributing dependently
- Collaborates - Contributing dependently
- Being resilient - Contributing dependently
Notes
- Only shortlisted applicants will be contacted