Location:                       Gauteng

Contract Type:            Permanent

Job Level:                      Professional / Approved Compliance Officer

Appointment Date:   May 2021 or as soon as available

Remuneration:          Market related

Reference:                    MCOMCOGautengMAR2021

 

Role Description

The successful applicant will be appointed as a Compliance Officer with Moonstone Compliance (Pty) Ltd. Duties will include risk identification and management, strategic and operational commentary, monitoring and administrative support functions to mitigate the risk of non-compliance with legislation and regulations.

Job Specification

• Provide outsourced compliance and risk management services to clients and other entities within the financial services industry by facilitating the development, establishment and maintenance of a compliance risk management process
• Develop, implement and maintain compliance documents, policies and procedures
• Identify legislative risks and improving compliance awareness through risk identification, stakeholder engagement and creating strategies to effectively determine and manage the broader regulatory risk environment
• Assist with the establishment and maintenance of procedures on the identification, reporting and resolution of compliance and regulatory issues
• Receive, research, manage and respond timeously to client queries. Liaise with clients, prospective clients and industry role players
• Staying informed on applicable legislation, industry developments and internal procedures: Regular review of new and existing legislation, attendance of Moonstone Compliance Conferences and workshops, etc. Assisting with training new employees
• Actively sourcing and maintaining a panel of prescribed clients.
• General administrative duties including reporting

Skills and Competencies

• Ability to interpret and apply legislation, compliance monitoring, compliance risk identification and management, regulatory guidance, analytical reporting, policy and document development and implementation, communication, research and recordkeeping, digital and computer literacy
• Client relationship management, entrepreneurial mindset, effective and disciplined self-management (Function well under pressure, time management, adherance to deadlines, etc.), problem solving and creativity, critical thinking, and decision-making abilities

Minimum Requirements

• Non-Negotiable: Approved Category I Compliance Officer with the Financial Sector Conduct Authority with no supervision requirements. Please provide your Phase 1 CO approval number as part of your application.
• Preferred: Category II experience and approval
• Advantageous: Category IIA, III and/or IV experience and approval
• LLB / 4 Year Law / Commerce degree or equivalent that has been recognised by the FSCA for Compliance Officers
• Regulatory Examinations as applicable to the Categories of approval
• Minimum of 3 years’ working experience in a legal, compliance or financial environment
• Working knowledge of the financial services industry and legislation (FAIS, FICA, Insurance Act, FSRA, )
• Computer literacy: Proficient in Microsoft Office (Word, Excel, Powerpoint & Outlook)
• Good command of written and spoken English and Afrikaans
• Must have a positive outlook, be presentable and self-motivated
• Valid driving license and own transportation as the incumbent will need to attend to meetings at clients’ offices
• As this position is not based in an office, the incumbent will need to have the required discipline and infrastructure to work from home or another location as agreed to.

Please note: Preference will be given to AA / EE applicants

When submitting your application, please ensure to include the following:

• Cover letter (Please outline your interest and tell us how you will be a good candidate for this position)
• Resume
• NON-NEGOTIABLE: CO APPROVAL NUMBER
• Qualifications
• Salary expectations
• Kindly quote the reference listed above

Closing date for applications: 12 April 2021

Only suitable applicants will be contacted. Should you have not received a response by 30 April 2021, please consider your application unsuccessful.

Wealth managers required

Area: GTC national offices

Wealth manager positions

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. These positions are in each of the GTC offices around the country and accommodate financial planners with varying degrees of experience and expertise.

Based on GTC’s client engagement model, financial planners are dedicated to either the take-on of new clients or the servicing of existing clients. GTC is recruiting staff in both these roles.

1. New business development

The successful application 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.

It is envisaged that client leads will be allocated based on proven experience and advice capability. These leads are typically segmented on AUM under consideration – up to R10 million, between R10 million and R20 million, and above R20 million.

2. Client servicing

This position is focussed on servicing existing clients through GTC’s proprietary software, Altertude. Servicing is conducted on both a proactive and ad hoc basis, with obligations including:

• Protect, secure, and grow clients’ wealth by providing independent, holistic financial planning advice.
• Consult to, and service the portfolio of clients.
• Adopt GTC’s integrated approach to managing long-term relationships with clients.
• Develop and deliver the agreed business targets whilst remaining compliant and meeting clients’ needs.
• Retain current clients.
• Client servicing is undertaken in strict accordance with GTC’s house-view and internal policies.

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. The ability to converse in Afrikaans or in the one or more of the common African languages will be advantageous.
• Liaison with all internal support departments within the designated GTC internal processes to ensure service delivery.
• Most new business opportunities, as well as many client servicing interactions are created and conducted through telephone and video. An appropriate telephone and online 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 various positions available require differing experience and qualifications, with a minimum requirement of having attained the Regulatory Exam 5 (representatives), and currently being under supervision, through to experienced CFP’s, holding relevant tertiary qualifications.

• Category 1 or Category 2 registered representatives with the FSCA.
• 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 or servicing orientated (depending on the role fulfilled).
• 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
• Confidence

Remuneration

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

The client servicing function is primarily salary based, together with an incentive structure.

Office hours

While the client servicing positions are more conventionally office hours related, the new business position has working hours which are far more diverse and flexible.

Both positions 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 in the subject line whether you are applying for the new business or the servicing position, along with the reference number 682156.

We are a young, dynamic, independent short-term insurance brokerage based in Johannesburg looking for experienced commercial sales professionals. If you are passionate, hardworking, and driven to succeed, you’re just what we are looking for. Grow your portfolio of business and earn on-going (recurring) commissions

Minimum Requirements

• Min. 5 years short-term commercial insurance experience with 2 years commercial insurance sales and marketing experience. (no call center agents)
• Grade 12 (matric)
• Must meet all competency requirements (RE & FAIS credits)
• Must have a proven sales track record
• Excellent telephone etiquette
• Excellent communication skills in English or Afrikaans (Written & verbal)
• Computer literate (MS Word, MS Excel, MS Outlook)
• Must have your own reliable transport

Job Description

• Develop and grow your own commercial client base
• After sales service including claims, policy renewals and amendments to cover
• Retention of existing business including renewal discussion in line with FAIS
• Developing internal/external relationships with clients.
• Maintaining lines of communication and liaison with clients and underwriters
• Continues professional development through workshops, insurer product training, in-house training and development, industry events and training

Remuneration:          Generous Basic plus Recurring Commission

Email your CV to wesleyd@constellation.co.za

Location:	Stellenbosch (Preferred) – Gauteng applicants, who are suitably qualifed and are able to successfully motivate why the position should rather be based in Gauteng, will also be considered.
Contract Type:	Permanent
Job Level:	Professional / Approved Compliance Officer
Appointment Date:	April 2021 or as soon as available
Remuneration:	Market related
Reference:	MCOMPOPIASTBMAR2021

Role Description

The successful candidate will be appointed as a specialist regarding regulatory compliance and risk management as it pertains to the POPI Act. They will be responsible for the development of a POPIA regulatory compliance service offering, and the building and maintenance of our POPIA client base.  Duties will include risk identification and management, strategic and operational commentary, monitoring and administrative functions to mitigate the risk of non-compliance with legislation and regulations.

Job Specification 

• Responsible for the development, establishment, and maintenance of our POPIA compliance risk management service, documentation, and procedures.
• Ongoing and critical analysis of relevant (new and existing) legislation to identify legislative risks and areas of importance for clients and employees.
• Creation of strategies to effectively determine and manage the broader regulatory risk environment.
• Develop, implement, and maintain our POPIA Compliance risk management offering, including, but not limited to documents and policies related to data processing, data sharing, disclosure, and data retention.
• Establish and maintain procedures on the identification, reporting and resolution of compliance and regulatory issues.
• Conducting regular assessments and audits to ensure POPIA and related compliance.
• Analytical review of business documentation, data privacy notices, data processing agreements and other related contracts.
• Actively sourcing and maintaining a panel of prescribed clients.
• Compile and submit internal and external compliance reports.
• Assist with the development and delivery of educational and training programs on POPIA compliance for employees and clients. This may include the development of training material, hosting of workshops/webinars/training sessions, and/or writing informative articles, amongst others.
• Improving compliance awareness through stakeholder engagement.
• Receive, research, manage and respond timeously to client queries.
• Stakeholder management, including liaising with clients, prospective clients, and industry role players.
• Provide guidance to the Moonstone Information Officer, Deputy Information Officer, appropriate boards, and committees as relates to POPI and compliance matters.

Skills

• Compliance monitoring, compliance risk identification and management, regulatory guidance, analytical reporting, policy and document development and implementation, communication, research and recordkeeping, digital and computer literacy, project management and financial management.
• Client relationship management, entrepreneurial mindset, effective and disciplined self-management, problem solving and creativity, critical thinking, and decision-making abilities.
• Strong understanding of data analysis, data protection and business operations, and the relationship between compliance and IT.

Qualifications

• LLB / 4 Year Law degree or equivalent
• Preferred: Additional qualification/postgraduate diploma in Compliance, Business Analysis, Data Protection, Privacy Law, or Risk Management
• Advantageous: Approved Compliance Officer with the Financial Sector Conduct Authority
• Advantageous: Professional designation in a relevant field

Experience

• Minimum of 5 years’ working experience in a legal, compliance, audit or financial environment with a thorough understanding of governance, risk, compliance, assurance concepts, and operationalising compliance solutions.
• Working knowledge of South African legislation and regulations relating to the processing of information and use of Information Technology (i.e., POPIA, PAIA, ECTA)
• Preferred: Working knowledge of international legislation and regulations relating to Information Technology (e.g., GDPR, etc.)

Please apply through our career platform in sending your detail to https://careers.moonstone.co.za/moonstone-employment-application/ and include the following:

1. a cover letter that illustrates your specific interest in this position, your experience, salary expectations and notice period;
2. please quote the reference as listed above (MCOMPOPIASTBMAR2021).

Closing date for applications:  Wednesday, the 31st of March 2021.

Only suitable applicants will be contacted. Should you have not received a response by or on 7 April 2021 please consider your application unsuccessful.

Location:                       Stellenbosch

Contract Type:            Permanent

Appointment Date:   15 March 2021, or soonest thereafter

Remuneration:            Market related

The Student Acquisitions Administrator is responsible for implementing the MBSE (Moonstone Business School of Excellence) Sales Strategy for inbound sales activities, establish contact, develop, and maintain relationships. Identify training needs and recommend appropriate solutions for inbound student applications. The Student Acquisitions Administrator reports to the Head of Sales.

Main Responsibilities

• Inbound Sales Administration
• Customer Service & Student contact
• General

Requirements

• Minimum of a Grade 12 Qualification
• Further Qualification in Sales will be an advantage
• Call Centre experience, or tele service experience
• Relevant work experience inclusive of data-capturing
• Experience in an educational environment entailing one on one interaction is highly preferred
• Ability to use technology (Excel, Outlook, Web, databases, CRM), high level verbal and written communication skills
• Higher education sales and marketing experience/knowledge (Advantageous)
• Knowledge about Class of Business and Continuous Professional Development training (Advantageous)

The successful candidate must always be able to conduct him/herself in a professional manner. Must have the ability to interact with clients and communicate effectively as well as be reliable and trustworthy.  Preference will be given to AA/EE applicants.

Preference will be given to EE candidates.  Please email applications to https://careers.moonstone.co.za/moonstone-employment-application/, including your notice period and salary expectation as well.

Entries for applications close by Wednesday, 31st of March 2021.

Only suitable applicants will be contacted. Should you have not received a response by or on 7 April 2021 please consider your application unsuccessful

GALILEO CAPITAL is looking for a self-managed, self-motivated, and coachable young individual to join as a personal assistant/relationship manager. The role incumbent will work in a team and assist the financial planner and para planner with all administrative tasks in respect of managing client relationships and be responsible for all service requirements from clients. The successful applicant must be a focused individual who follow an orderly, detailed and systematic approach to work, with a high level of accuracy whilst also able to work under pressure. The successful applicant must be a self-motivated individual with clear and concise communication skills in English and Afrikaans – verbal, writing and telephone, and be able to work in a team.

The successful applicant must maintain best practice standards and comply with all present and future statutory and regulatory requirements regarding specific financial products, personal character qualities, qualification requirements, experience requirements and professional conduct.

Behavioural Competencies

1. Ethical
2. Integrity
3. Ownership of responsibilities and tasks
4. Self-starter and self-motivated
5. Ability to work under pressure and deadlines
6. Ability to work with a range of personalities

Technical Competencies

1. Attention to detail
2. Clear and concise communication skills in English and Afrikaans – verbal, writing and telephone – are a requirement
3. Superior Numeracy
4. Computer literacy in Excel, Word and Office is critical
5. Administrative Experience will be beneficial but not a requirement

Qualifications/ Requirements

1. Matric Certificate
2. Study towards a relevant industry qualification will be a recommendation but not a requirement
3. Must be a South African citizen

Please forward your CV and proof of qualifications to the practice manager in JHB, Gerda van der Linde: gerda@galileocapital.co.za before 26 February 2021.

Moonstone Information Refinery requires an Office Assistant.  The successful incumbent will be responsible to maintain an effective and accurate administration and support function in relation to all logistical functions within the Regulatory Examination Body and Moonstone Group in order to minimise delays and increase client satisfaction.

Location:                       Stellenbosch, Western Cape

Contract Type:            Permanent

Appointment Date:   1 March 2021 or soonest there after

Remuneration:            Market related

Job Specification

• Ensure and maintain an accurate process in the administrative cycle of exam papers.
• Maintain relationships with External Invigilators through effective communication, planning and support.
• Assist candidates with directions to exam venues.
• Maintain an effective administrative, tracking and recording system for all parcels to minimise delays to and from venues/clients/providers.
• Effectively reconcile invigilator payments.
• Recordkeeping of Invigilator documentation.
• Assist with the reconciling/filing and recording of venue payments.

Competencies

• Accuracy & attention to detail
• Problem solving & decision making
• Impulse control & stress tolerance
• Able to work independently & as a team
• Flexibility & multitasking
• Analytical thinking

Minimum Requirements

• Educational requirements:  National Senior Certificate.
• Diploma/certificate in business or office administration will be an advantage.
• At least 2 years administration experience.
• At least 2 years customer service experience.

Skills & Abilities

• MS Office skills are required:
  • Basic MS Word
  • Basic MS Excel
  • Basic MS Outlook
• Strong Customer Service skills.
• Strong Administrative skills.
• Effective planning, time, and stress management skills.
• Leadership skills.
• Deadline driven.

The successful candidate must be able to conduct him/herself in a professional manner at all times. Must have the ability to interact with clients and communicate effectively as well as be reliable and trustworthy.  Preference will be given to AA/EE applicants.

Interested employees can email your applications to https://careers.moonstone.co.za/moonstone-employment-application/, including your notice period and salary expectation as well.

Entries for applications close by end of the weekend, the 26 th of February 2021.

Global & Local Investment Advisors is looking for a highly capable person who can grow with the company in the role of a Senior Investment Analyst/Senior Para Planner, which is centred around client servicing and not sales.

Minimum 5 years industry experience is required.

Management experience would be an advantage.

Candidates are required to supply all the relevant documentation (CV & copies of qualifications) with their applications.

The incumbent will be required to be skilled in the following:

·         Microsoft office efficiency.

·         Telephone etiquette.

·         Flexibility and adaptability.

·         Good oral and written communication skills.

·         Ability to be proactive and take initiative.

·         Tact and diplomacy.

·         Attention to detail.

·         Working under pressure.

·         Extensive calendar management.

·         Life products, Employee Benefits & Investment experience.

Responsibilities

·         Engaging with various fund managers to determine if their underlying funds are suitable for client investments. A proper due diligence will need to be compiled for the relevant funds and you need to able to motivate as to why the fund would be suitable.

·         Managing of asset allocation in the underlying fund recommendations to determine if these are suitable/adaptable for changing market conditions.

·         Monitoring of the performance of the recommended funds to ensure clients are receiving a suitable return on their investments.

·         Strong knowledge of investment solutions both locally and globally.

·         Keeping up with legislative changes to ensure clients investments are always compliant. E.g., Regulation 28.

·         Assisting the managing director with responding to client queries in a professional and timeously manner.

·         Providing support to administration department on any queries which may arise, this could be queries from clients or product providers.

·         Ensuring that we are receiving the appropriate level of service from the various product providers which in turn would mean providing a good service to potential clients.

·         Generating of analysis reports which can be used by Financial Advisors when they go and meet clients.

·         Writing of proposals for new and existing clients to ensure that the organisation complies with the relevant legislation (FAIS Act, General Code of Conduct, etc.)

·         Analyse financial information obtained from clients to determine strategies, design products, and recommend solutions to help clients meet their financial planning objectives with regards to personal wealth portfolios, retirement planning, estate planning, etc.

·         Reviewing and responding to clients changing needs and financial circumstances be creating and implementing an ongoing service plan to ensure client portfolios are regularly monitored and relevant modification timeously executed.

·         Protect, secure, and grow clients’ wealth by providing independent, expert financial advice, retirement planning, estate planning and tax planning.

·         Providing investment opportunities across a broad spectrum of regulated products.

·         Monitor financial markets trends to ensure that plans are effective, and to identify and necessary updates.

Educational Requirements

·         RE5 as per FSCA legislative requirements

·         NQF – Level 4

60 FAIS credits at NQF Level 5

Preferred:

CFP or Equivalent
Higher certificate in Insurance
NQF 120 credits full Qualification, Level 5.
Membership of a professional association e.g. FPI (Financial Planning Institute)

All applications must be emailed with the subject line #Paraplanner to info@globallocal.co.za

 

Please click here for a PDF of the specifications.

The practise

Established in 1997, this Claremont/Newlands-based practise has served clients in SA and abroad for more than 20 years. Over this time there have been seven representatives looking after the investment, employee benefit and long-term insurance needs of a growing client base of individuals, companies and trusts.

The practise provides a complete plug-and-play environment with documentation, policies and procedures to guide its representatives to exceed the legal requirements and provide exceptional service. This environment is supported by staff who are highly qualified and experienced in their fields.

Due to a retirement and a bereavement, the practise has the capacity to take on other appropriate Investment and Risk Benefit Advisors who want to be part of a small group of individuals who want to work together as a team to provide exceptional service to their clients.

Duties and responsibilities

The successful candidate(s) will be responsible for:

• Attracting new clients and relationships
• Engaging with and gathering relevant information from new and existing clients regarding their ongoing financial position, risk profile, needs and objectives
• Providing the highest standards of financial planning advice to new and existing clients using the practise’s fully supported processes and tools
• Implementing agreed solutions for clients
• Servicing clients in a meaningful way, including conducting periodic reviews and providing consistent feedback and communication.
• Updating financial plans and adjusting agreed strategies and solutions
• Maintaining the required knowledge, education, competencies, qualifications and professional development required of legislative and industry requirements and best practise

Whilst there is space to work from the office (and you would be most welcome), the practise is able to support advisors remotely and provides significant technological support for off-site work. Occasional attendance at the office for training and occasional meetings can be negotiated.

Minimum requirements

• This opportunity is open to all SA citizens regardless of race, gender etc. Non-SA citizens need not apply
• A proven track record of prospecting, new client acquisition and relationship building
• Bachelor’s degree in Commerce, Finance, Economics, Engineering or Law
• At least 3 years’ experience in financial planning
• Good verbal and written communications skills in English
• Completed RE5 regulatory examination

Factors which will count in the applicant’s favour

These will include:

• CFP® professional
• RE1
• Existing client base
• Ability to speak, read and write in another/other languages

Skills and competencies

• Desire to serve clients to the highest standards
• Professional attitude
• High attention to detail and accuracy
• Entrepreneurially minded
• Positively minded, enthusiastic and energetic
• Strong knowledge of:

– the legislative framework within which we operate

– financial planning principles, particularly in respect of investment-planning and investment management and / or risk benefits respectively.

– industry products and services

• Strong communication, inter-personal and presentation skills
• Natural ability to build trusted relationships both with clients and internally with other members of the practise
• Good time-management and organisational skills and the ability to manage multiple clients and tasks at the same time
• Self-motivated and able to work within a fully supported team-based environment independent of constant supervision.
• Good decision-making skills

Remuneration & benefits

• A negotiable market-related remuneration package commensurate with the applicant’s background and what they bring to the practise
• Revenue-sharing and bonus opportunities
• Full induction and training will be provided in Cape Town
• A fully functional support structure to allow you to work remotely
• All compliance and business support functions taken care of
• Relocation support within SA for qualifying candidates
• Compensation for investment book (complete or partial) for qualifying candidates

How to apply

For further information or to submit your CV for consideration, please contact Mark Cliff on 0837003600 or email markcliff@wealthps.co.za. All inquiries will be treated in the strictest confidence.

Please click here for a PDF of the specifications.