Senior Compliance Officer

Who are we?Sanlam Private Wealth crafts customised investment portfolios for high-net-worth private clients, charitable institutions, trusts and corporate entities.With assets under management and administration of more than R240 billion, we offer a comprehensive and integrated suite of wealth management solutions. These include equity, retirement and offshore investment portfolios, fiduciary and tax services, an equity-backed finance offering, a global stockbroking service and derivatives trading.At Sanlam Private Wealth, our clients are at the core of everything we do. For this reason, we employ people with passion – individuals who thrive in an entrepreneurial, high-energy environment.Sanlam Private Wealth is part of the Sanlam Investment Group – the largest, most diversified investment firm in South Africa, with a growing footprint on the African continent and in India.What will you do?Assist the Head of Compliance and Compliance Manager to establish and maintain a robust compliance function within the risk management framework of the business according to key regulations.Formulate, adapt, initiate, maintain and implement policies and procedures on various key regulations as required.Drafting, maintaining and enhancing Compliance Risk Monitoring Plans (“CRMPs”), Compliance Monitoring Plans (“CMPs”) and Working Papers (“WPs”) and determining the amount, frequency and type of monitoring needed to satisfy the CRMPs, CMPs and WPs.Incorporating new legislation into existing structure.Monitoring compliance and adherence with rules, regulation, policies, procedures and limits and recommendations for any enhancements.Act as an independent reviewer to identify areas of potential compliance, vulnerability and risk and to develop or implement corrective action plans for resolution and proactively find business solutions as required.Development and maintenance of systems and tools to support the compliance function.Compliance Static Data Management.Ensure regulatory and compliance deadlines are met.Assist the Head of Compliance and Compliance Manager when liaising with regulators.Assist the Head of Compliance and Compliance Manager with rolling out training to employees on compliance and new legislation.Assist the Head of Compliance and Compliance Manager to oversee Junior Compliance Officers and Compliance Assistants in respect of certain Regulatory TasksAd hoc tasks as required.Qualification and experienceThis role is a senior mid-level role and requires compliance experience in the asset management/private wealth/financial services industry.The candidate is expected to have a solid understanding of financial markets and investments.B Com (Law)/LLB or similar degree, MUST be a FSCA recognized qualification.Must have the FSCA RE Exams and SAIFM Compliance certification would be an advantage.Capable of registration as a FAIS Compliance Officer and/or JSE Equity Compliance Officer.5 – 7 years compliance related experience in the financial services industry.Exposure to CAT I (direct and via intermediary services) and CAT II FSP businesses.Member of the Compliance Institute of Southern Africa would be advantageous.Knowledge and skillsWorking knowledge and application experience of financial markets legislation is keyKey Acts: FAIS (essential), JSE Equity Rules and Directives (essential), FICA/AML, FATCA, POPIA, Regulation 28, SARB and NCA advantageous.Strong Computer literacy skills in MS Office, FAIS E-Portal and JSE BDA system knowledge essentialExcellent numeracy skillsTechnical understanding of financial products and instruments requiredResearch and due diligence skillsSystem automation skills (innovative ideas on possibility to automate processes/procedures)Ability to understand broader business issues, to apply holistic insight and acumen in integration of processesInsight into applicability of AI and robotics in compliance environment advantageousPersonal qualitiesThis person needs to be assertive, self-motivated and have a strong achievement drive, committed to personal and organizational success.A mastery of time management, prioritizing and planning is key in this role as a result of the diversity of the role and the large number of tasks.Ability to work independently with minimum oversight and a high regard for accountability.Strong, proven analytical and logical thinking skills.Excellent communication skills (verbal and written) and report writing skills.Strong administrative and organizational skills with acute awareness and appreciation of accuracy, detail, demands and deadlines.Proactive and a lateral thinker with a solutions-based approach when interpreting regulation.Ability to operate within a high-performance environment, resilient and pressure tolerant.Sound independent decision/judgment making and reasoning under pressure.Excellent negotiation skills and ability to influence.Able to operate at both a detailed and strategic level, with an ability to implement.High ethical standardsTruthful, honest, transparent (clear and direct but diplomatic) and dependable.Ability to learn quickly and think outside the box and be adaptable.Friendly and professional, with a positive, enthusiastic attitude.Build a successful career with usWe’re all about building strong, lasting relationships with our employees. We know that you have hopes for your future – your career, your personal development and of achieving great things. We pride ourselves in helping our employees to realize their worth.Through its business clusters – Sanlam Personal Finance, Sanlam Emerging Markets, Sanlam Investments, Sanlam Corporate Santam, Mi-way, as well as the Group Office – the group provides many opportunities for growth and development.Turnaround timesThe shortlisting process will only start once the application due date has been reached. The time taken to complete this process will depend on how far you progress and the availability of managersTo be considered for the above opportunity please upload your detailed CV on or before 21 November 2025.Please note that if you are not contacted within 2 weeks after the closing date your application has been unsuccessful.Our Commitment to transformationThe Sanlam Group is committed to transformation and embracing diversity and our employment equity plan and targets will be considered as part of the recruitment process. This commitment is what drives us to achieve a diverse workplace with employment equity as a key goal to create an inclusive workforce, representative of the demographics of our society as well as people with disabilities.