Head of Advice and Risk: SLS SC Succession Fin Planning (Lynnwood) (PG 12)Date: 31 Jan 2025Location: Pretoria, Gauteng, ZAWho are we?Sanlam is dedicated to supporting, growing and empowering clients with affordable, easy and suitable solutions, primarily through face-to-face intermediary channels, but also directly.
Our vision: We aspire to be the best at building enduring relationships by connecting clients and intermediaries.
We create sustainable value by attracting new clients, supporting ongoing client engagement and providing adaptive solutions designed to answer life's financial questions.As part of SanlamConnect, Succession Financial Planning (SFP) is a financial services provider focusing on the Registered Financial Adviser (RFA), looking to grow a professional practice while offering holistic financial planning to their clients.ResponsibilitiesPromote, monitor and drive the effective adherence of Compliance and Risk Management within the SFP/AFP.Understand and interpret all relevant Compliance related legislation and requirements for the Financial Services industry.Demonstrate high levels of technical and product knowledge to assess correct advice and product/need matching for clients.Train and coach planners and management on areas of compliance and related legislation.Ensure compliance practices and procedures within the unit are strictly observed.Ongoing proactive monitoring of practices and cases submitted by planners.Track, interpret and communicate trends or gaps in terms of risks within the unit.Manage a team of compliance administration and Advice and Risk Consultants.Chair a complaints committee addressing all complaints against SFP planners.What will make you successful in this role?Qualification & experience:Appropriate formal legal qualification.Product Class of Business knowledge and accreditation.CFP/RFP3 preferable.Financial services, distribution/sales experience.Strong administration, systems, process orientation/background.Knowledge and skills:MS Office (Word, PowerPoint, Excel).Compliance Tools (i.e.
: ALPHA, RITA).Compliance related regulations and legislation (FAIS, FICA, Money Laundering, etc).Audit/Forensic practices and processes.Risk management policies, practices and processes.Personal qualities:Client centricity.Results driven.Collaboration.Flexibility and adaptability.Effective communication.Core CompetenciesCultivates innovation.Customer focus.Drives results.Collaborates.Being resilient.Turnaround time:The closing date for applications is 13 February 2025.
The recruiter reserves the right to withdraw the advertisement prior to the closing date.Our commitment to transformationThe Sanlam Group is committed to transformation and embracing diversity.
This commitment is what drives us to achieve a diverse, inclusive and equitable work environment.
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