PURPOSE OF THE JOB:

Financial Advsiors provide specialist advice on Hollard products. The role involves selling of Hollard My Life and More products to mainly government employees and private clients.

CRITERIA
• Matric
• Finance/relavant tertiary qualification
• Completed RE (Advantageous)
• 1- 2 years Finacial Advisor experience
• Self motivated and the ability to work without supervision
• Ability to work under pressure
• Strong interpersonal and communication skills
• Great networking skill

ESSENTIAL DUTIES AND RESPONSIBILITIES:

contacting clients and setting up meetings, either within an office environment or in clients’ homes or business premises
conducting in-depth reviews of clients’ financial circumstances, current provision and future aims
analysing information and preparing plans best suited to individual clients’ requirements
designing financial strategies
assisting clients to make informed decisions
reviewing and responding to clients changing needs and financial circumstances
promoting and selling Hollard financial products to meet given or negotiated sales targets
keeping up to date with financial products and legislation

Senior Client Liaison Officer

Vunani Fund Managers (VFM) is a South African fund management company that provides clients with a range of institutional investment products.

We are building a top ranked fund management business focusing on investment performance and client services.

VFM is looking for a suitably qualified EE candidate to fill the role of Senior Client Liaison Officer.

Purpose of the Role

The Senior Client Liaison Officer works closely with the Fund Managers and is generally the first point of contact for clients’ administrators and consultants regarding audit requirements, reporting and administration.

The purpose of the role is to be the link between the client (including their administrators, consultants and auditors), the front office (fund managers and dealing desk) and the back office (administrators and custodians).

The role can be divided into four sections, namely: relationship building; reporting; query management and operational efficiency.

Required technical skills and knowledge

Qualifications

Minimum – Diploma in Accounting
BCom or other relevant qualification
Experience

5+ years in a client administration environment
Working knowledge of equities, bonds, derivatives,collective investments and money market instruments

Statutory Compliance

General understanding of FAIS, FICA, CISCA, Regulation 28 (Pension Fund Act) requirements

Key Accountabilities

Building relationships with clients in conjunction with the Fund Manager and Business Development team
Administration and reporting
Liaising with each designated client, front office and back office, attending to and resolving queries and requests on both segregated and unit trust funds
Assisting with training of junior staff/graduates
Maintaining existing processes and procedures as well as documenting new ones as the need arises

Core Competencies

Excellent communication skills, both written and verbal, in English
Accuracy (numeric)
Attention to detail
Analytical and problem solving skills
Self-motivated
Time management skills & ability to multi-task
Team player

Remuneration:

Competitive remuneration structure which takes into consideration the candidate’s experience and level of responsibility.

Further details of the package will be provided upon interview.

Location:

Newlands, Cape Town

Contact us:

To apply, send your CV to info@vunanifm.co.za

Correspondence will only be entered into with short listed applicants. Should you not receive a reply within 30 days of your application, please consider your application unsuccessful.

Vunani Fund Managers (Pty) Ltd is a licensed Financial Services Provider (license no 608) in terms of the Financial Advisory and Intermediary Services Act.

Short term representative position available at a short term brokerage in the Milnerton area.

The minimum experience being 3 years, preferably living in the vicinity of the brokerage and with the following minimum requirements:

•NQF 4 (150 Credits) in short term insurance is essential minimum.
•Bilingual in English and Afrikaans.
•RE5 essential.
•Computer Literate – proficient in Microsoft products and Outlook.

The candidate will be responsible for all relevant tasks related to client services in a short term insurance practice, including but not limited to:

•Issuing new policies.
•Renewals.
•Endorsements.
•New business quotations.
•Negotiating renewal terms and preparing documentation.
•Checking policies prior to sending to clients.
•Negotiate claims settlement.
•Telephonic client liaison and queries.

To apply, send your CV to insure@farelo.co.za

If you have not heard from us within a 2 week period, please deem your application unsuccessful.

Seeking Jnr Compliance Administrator to assist internal Head of Legal & Compliance in conjunction with external Compliance Officer. Must have legal degree and/or compliance qualification or be studying in the field/s.

• Must be available during normal working hours.
• Salary is market-related, with benefits.
• Experience in financial services is a plus but not essential.
• Great, sociable team, looking for compliance with a business-facilitation focus.

Send CV and copy of ID to PJO@saxomarkets.co.za.

Interviews to be arranged asap.

We are recruiting for an excellent opportunity within the Financial Services Sector (Insurance) and seeking a Senior Regulatory Compliance Manager with end to end Compliance experience.

The successful incumbent will be responsible for proactively and constructively assisting the Clientèle Group (“Group”) in managing its responsibility to comply with all relevant regulatory requirements and minimise compliance risks through providing of advice and guidelines to operational management through the application of risk management principles, policies, processes and procedures.

Key Areas of Responsibility:

• Maintain a working knowledge of relevant regulatory issues of professional or industry substantive codes and laws and regulations;
• Understand and interpret regulatory Market Conduct related legislation and good practice and formulate plans to ensure the Group meets its compliance obligations;
• Establish and maintain the relevant Compliance Universe;
• Assist with the effective planning of compliance methodologies specifically relating to the drafting of Compliance Risk Management Plans (to facilitate and oversee the process);
• Manage the implementation of all aspects of the Compliance Function, including the identification, assessment, management, monitoring and reporting on material compliance risks;
• Draft, review and revise company policies;
• Maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies and to monitor adherence to such procedures;
• Evaluate business activities to assess compliance risk and ensure the effective implementation of the Compliance Monitoring Programme and undertake all aspects of monitoring activities to actively manage the mitigation of compliance breaches;
• Proactively audit the Group’s processes, practices and documents to identify weaknesses and monitor the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls;
• Tracking of non-compliance findings with respective business unit managers until resolved;
• Formulating reports where applicable on compliance findings incidents of non-compliance, breaches and other compliance issues on a monthly and quarterly basis;
• Proactively drive/follow up, report applicable compliance breaches across the Group, thereby ensuring proactive resolution and understanding progress tracking around due dates;
• Drive compliance awareness and training campaigns on the importance of compliance and deliver training on compliance with regulatory obligations and business procedures;
• Assist with responding to query management relating to stakeholders to ensure their understanding and interests are addressed adequately;
• Monitor changes in relevant legal requirements and other regulatory developments which may impact on the Group and advise senior management of the implications;
• Provide advice to the business units on regulatory compliance matters and implementation of controls, including controls effectiveness assessments;
• Provide advice and guidance to business units on specific provisions of applicable Acts and communicating new regulatory risks where necessary;
• Provide guidance and advice to business units on new products or product improvements;
• Apply an innovative lens to ensure that strategic initiatives are supported;
• Stakeholder management is crucial to build, develop and sustain relationships with key stakeholders.
• Serve on several committees to guide the Group on regulatory compliance matters;
• Collaborate with the Group’s control functions;
• Keep the Internal Control Committee and senior management informed of the operation and progress of compliance efforts;
• Prepare compliance reports to management, business units and various committees and governance structures within the Group;
• Prepare reports to regulatory authorities

Qualification and Skill Requirements

• Degree(s) in Law or Compliance and Risk Management (Must have);
• Post-graduate degree or equivalent, or Certificate in Compliance Management (advantage);
• Preferably hold a CPrac designation;
• Minimum 5 – 7 years relevant experience in Compliance or Risk Management;
• Preferably a FSB FAIS approved Compliance Officer for Category I;

Knowledge of the following Acts would be very advantageous:

• Long-term Insurance Act, Regulations and Policyholder Protection Rules;
• Short-term Insurance Act, Regulations and Policyholder Protection Rules;
• Financial Intelligence Centre Act;
• Financial Advisory and Intermediary Services Act;
• Treating Customers Fairly;
• Protection of Personal Information Act;
• King Report and King Code on Corporate Governance (III and IV).

Behavioural Competencies

Risk Management Methodology:

Compliance Management Process in terms of the Compliance Institute of Southern Africa (CISA) and with International Standard 19600;
Risk Management with International Standard 31000.
Personal Attributes and Skills

Personal Qualities
Understanding risk and the ability to assess compliance risk;
Ability to interpret legislation;
Analytical thinking skills;
Sense of urgency and result driven;
Personal organisation and time management skills;
Independent and self-starter;
Team player;
Innovative;
Detailed orientated and quality driven;
Commercial acumen to view issues in terms of costs, added value and return on investment;
Interpersonal skills – ability to build relationships with people from all different backgrounds and at different job levels;
Communication

Able to inform and persuade both orally and in writing;
Able to communicate effectively at all levels both internally and externally;
Write clearly, succinctly and correctly;
Business writing skills, presentation and facilitation skills;
Quality Orientation
Audits the work of others to ensure that procedures are followed;
Set high standards for self and others and assuming responsibility for the successful completion of tasks;
Adheres to standards of excellence;

 

NB: Should you receive no feedback after three weeks please consider your application unsuccessful.

An Insurance Broker based in Johannesburg CBD is looking for Insurance Field Sales Reps nationwide to service their respective areas of residence.  RE5 qualification is recommended. We offer a competitive Commission Structure. If you want to partner with this winning team, email your CV to:  edwinmosathupa@gmail.com