Compliance Officer in South Africa office.

Trive South Africa (PTY) Ltd is a Category I and II FSCA register financial service provider located at 4 Karen Steet, Byanston (off Peter Place).

Headquartered in Netherlands, Trive was established in 2010 and has grown in a mere 11 years to a global financial services company, with offices currently over 20-countries and a total workforce of over 2.000 people.

The group companies specialize in Trading, Credit, Payment, and Venture Capital.

Our vision& goal is being “a global multi-asset investment platform and technologies holding company”

Responsibilities:

• Assesses and monitors the compliance risks associated with the company’s business activities, operations, and products and services,
• Establish and maintain relationships with business area, line management of the business area, internal and external audit and other complimentary departments and divisions e.g. Legal, HR, Internal Audit, etc.
• Work with external compliance to design a compliance-monitoring plan that will make sense and be practical for the organization, and in line with the Act
• Develop and implement a compliance program to ensure the organization operates in accordance with regulations in South Africa
• Assuring that all duties are performed in accordance with compliance regulations, processes, and procedures. Works with other areas to ensure integrated compliance where necessary,
• Work with Legal department to stay abreast of changes in laws and regulations and recommend appropriate changes to ensure that ops adapt to comply with these changes,
• Working with Senior Managers, Lines of Businesses & other departments to ensure ongoing compliance with AML Standards, KYC and other regulatory requirements,
• Monitor horizon risks including regulatory rule changes to ensure firm’s policies and procedures comply with appropriate laws, regulations, industry guidance and ethics
• Provide advice to senior leadership on current and emerging risk, regulatory rules, enforcements and actions
• Implement, maintain and perform risk assessments of the firm’s AML/CTF, Sanctions and KYC policies for existing as well as new business, clients and regions
• Training – presentations on policies and procedures, liaising with regulators, alerting management to pending legislation.
• Represent the organisation in respect of the compliance function and any matter related thereto.
• Ensure continuous compliance with both FAIS and FIC.
• Preparation of all required FAIS and FIC compliance reports.

Qualifications & Requirements:

• Recognized qualification in commerce, corporate governance, or law (minimum NQF 7 and registered by SAQA)
• JSE Equity Compliance Officer Exam would be highly beneficial
• Must passed the RE1 and RE3 regulatory exam would be advantageous
• Must have minimum 3 years’ experience working as compliance officer with a registered FSP and obtained prior Phase I and II approval from the Registrar
• Experience with KYC and AML metrics reporting
• Brilliant oral and written communication skills
• Must ensure that policies and procedures are put into place to achieve compliance
• Rule driven and identifies the rules applicable to the business area and then establishes a process in the organisation that gives effect to that rule.
• Highly organized self-starter, able to build and document sustainable processes and ensure timely completion of departmental projects

CAT 2 KI TO OVERSEE ELEMENTS

MUST BE REGISTERED AT THE FSCA

TO START AS SOON AS POSSIBLE

SALARY NEGOTIABLE (MARKET RELATED)

Minu Financial Services are currently recruiting for a Key Individual within the Financial Services industry. The Key Individual will be responsible for managing and overseeing its activities related to the rendering of financial services as a Category 2 with a 2.5, 2.7 and 2.13.

The key responsibilities and duties include, but are not limited to: ensuring the firm complies with applicable laws and statutory obligations; ensuring the FSP has Policies & Procedures in place; ensuring compliance with the General Code of Conduct and with the Fit & Proper Requirements; Fulfilling contractual obligations as per the agreements; managing and overseeing of the Firm’s team members rendering the FSP’s financial services, including those persons under Supervision; and ensuring the business processes are in place and Firm’s operational ability is sustainable; and, ensuring the firm complies with applicable laws and statutory obligations.

Requirements:

•  2.5 – Shares
• 2.7 – Debentures and Securitized Debt
• 2.13 – Long Term Deposits
• Undergraduate degree, with honours.
• Minimum NQF Level 5 in Finance, Business and/or Wealth Management
• Minimum 5 years FSP management experience
• RE1 Exam required
• RE5 Exam required
• RE3 Exam required
• Class of Business experience in Investments and Structured Deposits
• CPD required Skills:
• Exceptional written, oral, and presentation communication abilities
• Sectoral experience
• Attention to detail
• Excellent organizational, multi-tasking and time management skills with demonstrated ability to work efficiently and meet tight deadlines
• Strong interpersonal skills and ability to work effectively with large, culturally diverse teams at all levels
• Excellent oral and written communication skills in English are required, including a demonstrated ability to communicate ideas clearly and confidently
• Computer literate
• Excellent knowledge of financial markets and instruments. Competencies
• Self-starter and initiator
• Honesty and integrity
• Competitive and creative
• Results orientated
• Strong management skills
• Work Remotely

Please send updated CV with Qualifications to bronwyn@minufs.co.za or kuda@minufs.co.za

Optivest Health Services is a leading consultancy, specialising in providing objective, independent and focused medical scheme and other health cover related solutions to our national client base.

There is an opportunity for a Sales Centre Manager who will be responsible for planning, implementing and delivery of the targets of the direct retail sales of the company.

This will be achieved by the day-to-day active management of a team of Sales Consultants.

The successful candidate will especially excel in performance management, coaching and development of sales consultants to achieve their contracted responsibilities.

Main Job Tasks and Responsibilities

• Set individual sales targets with sales team
• Co-ordinate sales action plans for individual salespeople
• Oversee the activities and performance of the sales team
• Ensure the sales team have the necessary resources to perform properly
• Monitor the achievement of sales objectives by the sales team
• Liaise with other departments to ensure achievement of sales objectives
• Evaluate performance of sales staff
• Provide feedback, support and coaching to the sales team
• Plan and direct product and sales training
• Co-ordinate and monitor online sales activity
• Investigate lost sales and customer accounts
• Generate timely sales reports
• Analyse data to identify sales opportunities
• Manage Lead pipeline and associated SLA’a
• Monitor and ensure proper usage of processes and systems

Key Competencies

• Excellent written and verbal communication skills
• People management skills
• Organisation and planning
• Target driven
• Problem analysis and problem-solving
• Decision-making
• Innovation
• Stress tolerance
• Judgement
• Service orientation
• Team-leadership
• Information management
• Persuasiveness
• Adaptability

Experience and qualifications

• Minimum of 3 years Sales Management/Supervisory experience, preferably in a Call Centre environment.
• Sales experience in Health/Medical Scheme environment is highly recommended.
• RE 5 Exams passed (Representative or KI) is advantageous; preferably progressed or NQF qualification completed.
• Track record of delivery.

Remuneration

Basic salary plus Monthly Incentives and Annual Bonus

Optivest Health Services, a leading consultancy, specialising in providing objective, independent and focused medical scheme and other health cover related solutions to our national client base, has a position available for a Senior Full Stack Developer, at its head office in Durbanville, Cape Town.

Purpose of the Position:

• The company requires a senior full stack developer that shares the same level of passion for high quality software solutions.
• The position forms part of a small team that is responsible for the full software development life cycle from conception to deployment for each new product / project including system information gathering, solution design, preparing application specifications, development and testing, user training, problem solving and trouble shooting.
• On-going maintenance of existing systems and MIS reporting will also remain a crucial requirement of the role.

Technical Skills & Experience

Qualifications

• (Minimum) Grade 12 National Certificate
• (Ideal) Relevant tertiary qualification in Information Technology

Technical

As a full stack developer, you need to be comfortable around both the front and back-end development languages, development frameworks as well as third party libraries.

• 6+ years of proven experience in software development, project delivery and implementation
• Experience in Medical Scheme/Health industry advantageous

Experience in the following development languages:

Front-end languages

• JavaScript
• CSS (bootstrap)
• HTML

Back-end languages:

• C# with .NET Framework including WinForms & WPF
• ASP.NET including Webforms, MVC, Blazor / Razor

Experience working with databases including:

• MS SQL & MySQL relationship databases
• T-SQL, Stored procedures and Views essential

Reporting experience including:

• Excel reporting
• Crystal reports
• Statistical web dashboards

Knowledge of:

• IT systems development processes (SDLC)
• Application development
• Testing practices
• UML
• Systems analysis and design

Interpersonal skills

• Display a strong sense of ownership and independent work ethic
• Strong understanding of business processes
• Process-orientated and structured
• Analytical skills
• Very good problem-solving skills & time management essential
• Applying expertise and technology
• Adhering to principles and values
• Result driven and meeting project delivery expectations
• Coping with pressures and possible setbacks as well as project re-prioritisations required by the business
• Can-do attitude and aptitude for achieving personal growth and technical results

GIB Financial Services is looking for a Financial Manager. This position will involve normal financial manager roles within the company, as well as overseeing the Pension Funds Accounting function within the Fund Operations Division.

Responsibilities:

• Preparing business activity reports, financial statements, and forecasts
• Overseeing the monthly accounting function in Fund Operations
• Overseeing the annual audit of the various Retirement Funds
• Ensuring financial legal requirements are met
• Developing financial reporting systems
• Assisting management in financial decisions
• Asset and Liability Management of the Fund / Rebalancing of assets.
• Review of monthly investment accounts / cash flows.
• Review of monthly Fund Accounting Reports.
• Ensure and manage valuations / valuations exemptions of all Funds.
• Ensuring asset management reports, bank accounts and administration reports are balanced.
• Management of the banking system.
• Management of SARS, FSCA and any other regulatory submissions.
• Review and payment of claims.
• Management and resolution of escalated queries.
• Project management and prioritising projects at a strategic level.
• Establish and maintain internal control processes.

Qualifications and skills required:

• Minimum of Bachelor’s degree in Accounting
• Minimum 5 years work experience
• Strong knowledge of financial reporting
• Strong Excel skills
• Excellent ability to problem solve along with solid analytical skills
• Ability to understand the business processes, and systems optimization
• Comfortable interacting with all levels of management in different areas
• Ability to work positively with service providers

If you fit the above criteria, please forward your c.v. to Diana Simpson, email diana@gib.co.za

About the Company

Maptte (Pty) Ltd is an authorized financial services provider. At Maptte we offer cutting edge financial & investment services to our clients. We are also vested in the growth of our employees and as a result provide training and development for our professionals through our very own Maptte Academy. We offer RE1 and 5 so you can become a qualified Financial Advisor or Key Individual. We invest in your journey through our mentorship programs and increase your knowledge by offering a variety of product training in the insurance industry. We are 100% grounded in what we do, purely so that your career can flourish, our values are infinite and our commitment to each and every job is absolute therefore creating broader scope of opportunities for you as the sales representative. Join our dynamic winning team of members who have grown in various areas within the business including Key Account Manager roles attained in less than a year!

About the Position

Job Title: Team Leader – For Field Sales Representatives
Reports to: Sales Team Manager
Contract Type: Full Time
Number of positions: 1 Team Leader
Expected start date: 10 November 2022
Monthly salary: R10 000 – R15 000 ( Negotiable)
Areas: Johannesburg central (CBD)
Are you focused? Are you driven? Are you people centric? We are looking for you.

Key Responsibilities

• Build and retain high performing a team by remaining positive, motivational and results driven
• Efficiently manage, oversee targets & Team KPI’s daily
• Drive up sales by designing and implementing a strategic sales plan that expands the company’s customer base and ensures a strong presence in the market
• Identify and correct areas of development by coaching and mentoring the team to meet and exceed sales targets
• Build and maintain good working relationships with your team through excellent interpersonal skills and rapport
• Offer training, solutions, and support to your team
• Coordinate and co-operate with your team to reach organizational goals
• Conduct and file monthly performance reviews
• Report weekly and monthly on team performance
• Stay up to date with regulatory laws and general changes that govern industry and company products
• .Consolidate Team list/database of prospective clients
• Identify and attend potential places for marketing drives
• Attend regular training
• Travel or maintain virtual contact with clients when necessary
• Maintain honesty, integrity, and client confidentiality

Renumeration and Perks

• Commission – Uncapped
• Ongoing profit shares
• One of the high performers to date salary earn – R 58 482 01
• Meaningful incentive programs like take the day off  or “take a break”– you deserve it”
• Certificates and ongoing development opportunities
• Days Off
• Training and development. Subsidized Res and short courses
• Flexible, supportive and responsive management team

Minimum Requirements

• Matric or equivalent
• Valid driver’s license a must
• Own car (A must)
• Smart Phone
• RE 5
• 24 months Team Leader sales experience
• Sales insurance experience as a Representative or Team Leader a must
• Own laptop a must
• Clear criminal record
• Clear credit record
• Willingness to be mentored and coached
• Presentation skills
• Target driven
• Training and coaching background experience will be advantageous

Competencies

• Tenacious
• Assertive
• Networking ability
• Influencer ability
• Problem solving ability
• Effective planning and organizing skills
• Effective time management skills
• Effective communication skills
• Ability to work in a Team
• Ability to self-manage
• Ability to work a in a fast-paced environment
• Computer skills (MS office)
• Computer skills (Zoom, Google Meet & Teams)

CVs to recruitment@maptte.co.za; use the subject Team leader

Closing date: 31 October 2022

 

 

 

 

GTC, one of South Africa’s leading advisory practices (formerly Grant Thornton Capital), has several vacancies for wealth managers. As a consequence of the counselling requirements of Section 36 of the Pension Funds Act, GTC is required to provide financial advice to numerous members on an ongoing basis. GTC’s proprietary technology platform sees that retirement fund members are communicated with through a combination of automated process and people engagement.

For those members seeking financial advice (ordinarily having recently joined or leaving a company sponsored retirement fund), these leads are passed on from GTC’s counsellors to wealth managers responsible for new business.

GTC seeks wealth managers to fulfil this advisory role. This position is within the GTC offices around the country and accommodate financial planners with varying degrees of experience and expertise.

Key responsibilities

New business development

The successful applicant for this position will provide financial advice and conclude new business from various sources, primarily from leads generated within GTC’s retirement benefit counselling programme whereby members have requested that they be contacted to receive advice regarding their retirement benefit. The applicant should however have relevant experience in identifying a client’s holistic financial needs and structuring appropriate, holistic financial planning solutions to clients.

The key performance metric of this role is the amount of new business concluded into GTC solutions monthly. The successful applicant will fulfil a specific role, that of successfully onboarding new clients, within a broader team that delivers exceptional customer service to high-net-worth clients. As such, there is no expectation of the successful applicant to service these clients, as this function will be fulfilled by other members of the team.

It is envisaged that client leads will be allocated based on proven experience and advice capability.

FAIS compliance

• Adherence to FAIS, FICA and all other relevant legislation is, of course obligatory.

Communication requirements

• GTC conducts business primarily in English and an advanced understanding and use of English in all forms of communication is essential.
• Liaison with all internal support departments within the designated GTC internal processes to ensure service delivery.
• Most sales opportunities will be created in the first instance through telephone dialogue. An appropriate telephone manner is therefore a pre-requisite.

Activity management

• Complete, validate and sign-off on daily tasks within GTC’s in-house Workflow system.
• Monitor activity progress.

Skills and experience required

The position available requires at least 10 years’ relevant or related experience and a minimum requirement of having attained the Regulatory Exam 5 (representatives) and having relevant tertiary qualifications. Preference will be given to experienced CFP’s.

The candidate should be registered and competent to render advice/intermediary services in the respect of the below sub-categories as set out on the FSCA’s website:

–   Category 1.1 – Long-Term Insurance subcategory A
–   Category 1.3 – Long-Term Insurance subcategory B1
–   Category 1.20 – Long-Term Insurance subcategory B2
–   Category 1.4 – Long-Term Insurance subcategory C
–   Category 1.5 – Retail Pension Benefits
–   Category 1.14 – Participatory Interests in a Collective Investment Scheme
–   Category 1.17 – Long-term Deposits
–   Category 1.18 – Short-term Deposits

• Category 1 or Category 2 registered representatives with the FSCA with a minimum of 5 years post supervision experience.
• Financial/commercially qualified graduate.
• A minimum of intermediate knowledge of MS Office (Word, Excel, PowerPoint, Outlook).
• Advanced and proven sales, presentation, negotiation, and communication skills.
• Strong analytical and problem-solving abilities.
• Self-management with the ability to work under pressure, within a defined compliance framework.

Personal attributes

• Customer and results focused.
• Sales oriented. Deadline adherence.
• ‘Self-starter’ with a high level of energy. Time management.
• Professional at all levels.
• Ability to investigate, analyse, reconcile, and solve problems. Ability to cope well under pressure.
• Well groomed, professional presentation. Uncompromising commitment to the client.
• Honesty and confidence.

Remuneration

The new business function is significantly commission based, with a basic salary. Three different remuneration structures are available.

Office hours

The new business position has working hours which are far more diverse and flexible.

The position will conventionally require a minimum of forty working hours per week. The new business positions, being largely commission based may practically take up more time than this.

GTC’s conventional office hours are between 08:00 and 17:00.

Please submit your application together with your CV to recruitment@gtc.co.za, clearly indicating the reference number 782579.

A well established brokerage for over 58 years, is looking for a RE5 qualified / Admin / Claims consultant and or assistant.

Requirements

• RE5 qualification
• More than 5 years underwriting / claims experience is required.
• Good communication skills (verbal / writing).
• Internet / Word / Excel skills are a requirement.
• Age group : 40 – 55 yrs.

Closing date for applications: 15 October 2022.

Email CV to: amanda@krynauwbrokers.co.za

About the Oasis Group Holding

The Oasis Group is a global fund management operation that was formed in June 1997. Within the fund management industry, Oasis has established a strong investment track record as an investment manager with expertise in Shari’ah compliant and conventional collective investment schemes, global mutual funds, retirement funds and large segregated institutional funds.

The Oasis Group currently operates out of the Republic of South Africa and the Republic of Ireland. The Group’s corporate head office is based in Cape Town (South Africa) and it has an offshore subsidiary in Dublin (Ireland). The group is also responsible for the management of investment funds that are listed in Malaysia.

The position we offer

Are you a Commercial Attorney with solid commercial experience & good understanding of tax law, company law& Trust law with 12 and more years of post-articles relevant experience at a reputable firm? Do you have the drive and agility to join a global wealth management firm? If so, then we have the perfect position for you.

The position is based in Cape Town.

Key Responsibilities:

• Draft, review, negotiate and enforce commercial agreements and other legal documents to ensure our full legal rights and provide advice thereon; Advise on all commercial matters of the organization.
• Provide clear succinct legal advice, counsel at all levels of the organization on complex legal matters from contracts to litigations and more.
• Act as counsel on a variety of legal issues on a daily basis in a timely and effective
• Provide legal guidance on new product/feature
• Oversee legal matters requiring external legal
• Identify, research, analyze and advise relevant legal and regulatory requirements in SA and other jurisdictions and translate into business solutions.
• Support the continuous improvement of the internal legal department by identifying and implementing improvements in processes, forms and operations.
• Prepare detailed regulatory submissions to motivate for certain tax policies which would be beneficial to the interests of clients and / or the organization.

Qualification

• Minimum Bcom LLB or BA LLB Degree with financial services experience
• Post graduate LLM in Taxation / HDip Tax (Optional)
• Admitted Attorney or Advocate of the High Court of South Africa/ Articles from a reputable firm

Key Requirements

• Demonstrate a good understanding of company and trust law and
• Have demonstrable experience as commercial lawyer with a proven track record in a similar environment;
• Excellent Planning, Prioritizing and Organizing abilities
• Excellent communication skills, both written and verbal
• Must have managerial ability to oversee 3 or more other professional

Remuneration

• A highly attractive and competitive remuneration Further details provided upon interview. WE REWARD EXCELLENCE!

Application Guidelines

Please submit your covering letter, CV, Identity Document & Academic Transcripts to: recruitment@oasiscrescent.com, or post hard copies to the address given below:

Please post/ deliver the documents in a labeled envelope for the attention of:

Recruitment
Oasis Group Holdings (Pty) Ltd.
Oasis House
96 Upper Roodebloem Road
University Estate
Cape Town 7925

Please include all supporting documents; Click here to download the Employment Application Form.

You will be contacted should we require you to come in for an interview.

For more information

Call 021 4137860 or visit our website.

 

About the Oasis Group Holding

The Oasis Group is a global fund management operation that was formed in June 1997. Within the fund management industry, Oasis has established a strong investment track record as an investment manager with expertise in Shari’ah compliant and conventional collective investment schemes, global mutual funds, retirement funds and large segregated institutional funds.

The Oasis Group currently operates out of the Republic of South Africa and the Republic of Ireland. The Group’s corporate head office is based in Cape Town (South Africa) and it has an offshore subsidiary in Dublin (Ireland). The group is also responsible for the management of investment funds that are listed in Malaysia.

The position we offer

We are looking for an Attorney / Compliance Officer with 5 to 8 years retirement fund experience who is driven, agile and possesses strong knowledge & experience of the South African retirement law & regulatory environment.

The position is based in Cape Town.

Key Responsibilities:

• Prepare, review and implement fund
• Monitor and report on the ongoing compliance of the firm and its portfolios with the legal and regulatory environment, monitor compliance through periodic and regular reviews.
• Set the appropriate deadlines and ensure that all deadlines in respect of Board meetings and statutory and tax filing have been adhered to.
• Ensure that all the regulatory and other internal or external reporting requirements applicable to the relevant companies have been adhered to. Ensure detailed policies, procedures, systems and controls are implemented.
• Implement the compliance monitors across various regulated companies and perform detailed compliance reviews on risk areas.
• Review legal agreements to ensure that the statutory compliance requirements are met and risks have been mitigated.

Qualification

• Minimum Com LLB or BA LLB Degree with financial services experience / CFP / HDip in Tax.
• Can be a CA (SA) or Admitted Attorney or Advocate of the High Court of South
• Articles obtained from a reputable

Key Requirements

• Strong knowledge and experience of SA retirement fund regulation / law including SA
• Excellent Planning, Prioritizing and Organizing
• Excellent communication skills, both written and

Remuneration

• A highly attractive and competitive remunerati on Further details provided upon interview. WE REWARD EXCELLENCE!

Application Guidelines

Please submit your covering letter, CV, Identity Document & Academic Transcripts to: recruitment@oasiscrescent.com, or post hard copies to the address given below:

Please post/ deliver the documents in a labeled envelope for the attention of:

Recruitment
Oasis Group Holdings (Pty) Ltd.
Oasis House
96 Upper Roodebloem Road
University Estate
Cape Town 7925

Please include all supporting documents; Click here to download the Employment Application Form.You will be contacted should we require you to come in for an interview.

For more information

Call 021 4137860 or visit our website.