Design policies and procedures in line with all appliable laws and regulations based on a risk management approachImplementation of controls for policies and proceduresMonitoring controls against implementation and making necessary adjustments Monthly reporting on the organisations’ state of complianceProvide regular staff training on compliance policies and proceduresKeep up to date with changes in all applicable regulatory environmentMaintain knowledge of all relevant regulations relating to B-BBEEPerforming B-BBEE verifications on complex, listed, and public sector clientsIn-depth knowledge and interpretation of the DTI Codes of Good Practice and verification manualIn-depth knowledge and interpretation of all B-BBEE sector codesRisk assessment and strategy development for advisory clients, ensuring achievement of desired B-BBEE Level by applicable sector

Design policies and procedures in line with all appliable laws and regulations based on a risk management approachImplementation of controls for policies and proceduresMonitoring controls against implementation and making necessary adjustments Monthly reporting on compliance breachesPerformance monitor brokers and provide a weekly dashboard report on weekly production and lapsesNew client and broker onboardingOffice Management (receptionist, admin, call centre and brokers)Recruiting of new employees and brokersProvide training on compliance on an ongoing basis including compiling training manualsBook product training sessions for all new brokers with relevant companiesEnsuring compliance of all new business applicationsRelationship management with the insurance housesReconciliation of commission statementsVerification of fit & proper requirements for new brokersCreate & regularly update a register of broker credits, FSP4 forms and verified proof of creditsBe aware of the register of brokers that comply with the honesty and integrity register & update if necessaryContinuously update and ensure accuracy of the individual broker statutory disclosure documents Create & update services under supervision database for all brokers Develop & monitor training plans for unaccredited brokers in line with the organisation’s “service under supervision” framework Ensure knowledge of Inseta bursary applications and window periods to applyFinalisation of enrolments and related payments Communicate any changes in Fit & Proper statuses to relevant partiesCreate and regularly update a duplicate FSCA representative list with any terminations & appointments Conduct compliance training (FAIS, FICA, Code of Conduct, etc.) including preparation and updating of material, assessment of brokers, assessment tools, training and administration thereof. Regular research and communication of this research to relevant partiesManage FSCA, FIC & Inseta correspondence

Submit all transactions processed to Citadel ComplianceProcess all client instructionsTax Clearance Applications Section 14 TransfersMaturities of policiesUpdating values of managed and non-managed investmentsQuarterly Reporting and supporting documentationEnsuring FICA and FAIS CompliancePreparing documentation for vertical IntegrationMonitoring of all cash-paying clients Attending to outstanding structuring fees on the wealth planning and management Resigning clientsFee RecoupmentsAttending to the exception reports monthlyEnsure that all outstanding managements fees are collected within the 30 working daysSubmitting manual recoupments in the instance of resignationManaging Structuring, Performance, and Management Fee AggregationsValidation of MandatesFICA – All valid FICA Documents on the systemFAIS – Cashflows and Minutes scanned after every appointment and as per the calendarAttending to FAIS/FICA /Mandate list per monthGenerating, scanning and posting out closing lettersEnsure that there are Legal Check Certificates for all Trusts on the system Ensure that all clients have a will on the systemSupplier LiaisonContact Citadel Administration Services /Momentum/Investec daily via telephone/email and fax following up on instructions submitted.Attending to the supplier’s queriesAttend to client's requested information, documents or transactions.

Verification of fit & proper requirements for new brokersCreate & regularly update a register of broker credits, FSP4 forms and verified proof of creditsBe aware of the register of brokers that comply with the honesty and integrity register & update if necessaryContinuously update and ensure accuracy of the individual broker statutory disclosure documents Create & update services under a supervision database for all brokers Develop & monitor training plans for unaccredited brokers in line with the organisation’s service under supervision” framework Ensure knowledge of Inseta bursary applications and window periods to applyComplete all administration required for the finalisation of enrolments and related payments Communicate and record all information with regards to the broker’s studiesCommunicate changes in Fit & Proper statuses to relevant partiesCreate and regularly update a duplicate FSCA representative list with any terminations & appointments. Assist compliance officer and TDR with compliance training (FAIS, FICA, Code of Conduct, etc.) Preparation of the material, updating of material, assessment of brokers, assessment tools, training of FNA and administration in this regard. This also extends to the FSP board examinations.Assist compliance officer in performing regular audits and samplingAssist compliance officer in regular research and communication of this research to relevant partiesGeneral compliance administration, FSCA, FIC & Inseta correspondence & following up is required on an ongoing basis Compile training files for broker inductionPrepare training documentation as requiredCreate and update training and conflict of interest databases as requiredPreparation of assessment aids in determining the knowledge levels of all staffSetting up and facilitation of training courses as requiredBooking trainers and learners, updating the monthly training calendar and communicating this to relevant parties