Business Enablement - Advice and Compliance Review - Springs
Headhunters
Reference: PE002180-RW-1Our client in the Financial Services industry is currently looking to employ a Business Enablement - Advice and Compliance Review based in Sandhurst (Sandton).A wonderful career opportunity awaits you. Responsibilities and expectations but not limited to:Advice Review: Internal Review: in conjunction with the external compliance officers audit Partner Directed Advice cases and large deals against the advice questionnaires to ensure that all cases are compliant before commission is released to Partners. External Review: Manage the relationship with the external compliance officers and analyse compliance reports received from them for consolidated reporting to the business. Give guidance (written and verbal) to Partners, Partner Operations Managers, Business Development Managers, Para-Planners and Risk Consultants on how best to meet quality advice requirements. Creating, implementing and maintaining processes to meet regulatory requirements and mitigate the identified advice risks within the business. Establishing and maintaining relationships with internal and external stakeholders. Legislative & Regulatory Support: Maintain a compliance framework in collaboration with stakeholders (both internal and external). Analysis of legislation and application thereof and advising business on regulatory changes which may impact compliance management within the business. Assist in maintaining the competency register. Reporting: Analyse all advice audit scores (internal and external) and reports received to determine where the risk in advice dispensed in the business is and report to the Key Individual Team on the outcomes and how this risk is managed. Identity potential compliance breaches and investigate compliance irregularities or areas of concern. Addressing regulatory compliance requirements related queries from within the business. Manage Advice Risk: Implementation and monitoring of a Partner Compliance Dashboard to highlight elements of key risks identified. Participation in the Advice Risk Committee in formulating compliance procedures and focus areas to cover areas and / or themes of risk Monthly / quarterly reporting to the Key Individuals and relevant stakeholders. Manage Partner Monitoring team tasks (advice monitoring and Compliance Officer tasks) to ensure that risks identified are remediated by the Financial Planning Partner. Engaging with the respective Partner Operations Managers and / or Business Development Manager should the need arise. Administration: Maintain the compliance and procedure manuals and all artefacts published on the internal intranet for Advisor offices. Administrative duties related to all of the above. Please note should you not receive a response within two weeks of applying you may assume that your application was unsuccessful. Monthly
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