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    KI / Compliance Admin - Johannesburg, South Africa - Energy at Work Projects

    Energy at Work Projects
    Energy at Work Projects Johannesburg, South Africa

    1 day ago

    Default job background
    Full time
    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 IndividualFUNCTIONS: Long Term (Sub Cat - 1.1; 1.3; 1.22)

    • Stay up to date with legislation and FSCA board notices.
    • Maintain the FSP's 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 FSP's attention by the compliance practice.
    • Manage and update the FSP's 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.

    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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