Compliance Administrator

EUM, part of the TWK group, has the following vacancy available: Compliance Administrator at Krugersdorp / Pretoria,Gauteng.

Job Summary
This role involves providing compliance administration and monitoring support within EUM’s regulated financial services environment. The successful candidate will support the Compliance Officer, Key Individuals and responsible business owners by maintaining compliance records, monitoring evidence, corrective-action trackers and statutory documentation. The role includes supporting compliance activities relating to the FAIS Act, FICA, anti-money laundering and counter-terrorist financing (AML/CFT) requirements, POPIA, Treating Customers Fairly principles, Representatives, Juristic Representatives and other applicable regulatory requirements. The position is an administrative and compliance-support role and does not replace the statutory responsibilities of the Compliance Officer, Key Individuals or management.

Responsibilities and Duties

• Provide administrative, reporting and evidence-management support for the implementation of the Annual Compliance Monitoring Plan
• Maintain and update compliance records for the FSP, Representatives and Juristic Representatives
• Conduct compliance file reviews and verification checks using monitoring checklists and ensure that supporting documentation is complete and inspection ready
• Conduct compliance monitoring activities, identify exceptions, breaches, discrepancies and control deficiencies, and escalate these to the Compliance Officer or designated responsible person
• Assist with developing and coordinating the annual compliance training plan and maintain attendance registers, assessments and supporting awareness records
• Promote ongoing compliance awareness within the business
• Maintain applicable compliance registers and supporting documentation, including records relating to Representatives, Juristic Representatives, Key Individuals, complaints and training
• Maintain the complaints register and track complaints, corrective actions, management responses and resolutions
• Assist with monitoring compliance with customer-disclosure, record-keeping, Treating Customers Fairly and related conduct requirements
• Manage compliance-related document control, filing and record-keeping processes
• Assist with monitoring compliance with FAIS, FICA, AML/CFT requirements, POPIA, the Policyholder Protection Rules and other applicable regulatory requirements
• Assist with preparing compliance reports, regulatory submissions, audit evidence packs and responses to information requests
• Maintain controlled copies of compliance policies, procedures and frameworks, including version-control, approval and review records
• Monitor regulatory publications, legislative updates and industry notices and refer potentially relevant developments to the Compliance Officer for review
• Assist with reviewing and maintaining client, insurer, binder, outsourcing and other regulated third-party agreements and supporting documentation, where applicable
• Track compliance findings, remediation actions, responsible persons and target completion dates
• Assist with maintaining implementation records and supporting evidence for the FICA Risk Management and Compliance Programme
• Maintain regulatory correspondence and records of submissions to regulators and industry bodies
• Follow up on outstanding compliance documentation, evidence and regulatory requirements
• Perform general administrative duties and provide support to the Compliance Department as required

Qualifications and Skills

• Grade 12 / Matric
• A recognised qualification in Compliance, Risk Management, Governance, Law, Financial Planning, Insurance or a related field (advantageous
• RE5 completed, or the ability and willingness to complete RE5 if required by the Company (advantageous)
• At least two years’ relevant compliance administration, regulatory administration, monitoring-support or compliance-review experience within an authorised financial services provider, insurer, underwriting manager, compliance practice or comparable regulated financial-services environment
• Experience within the insurance, underwriting-management, funeral-policy administration, binder, financial advisory or intermediary-services environment (advantageous)
• Working knowledge of the FAIS regulatory framework and related financial-services legislation
• Knowledge of FICA, AML/CFT requirements, customer due diligence and regulatory record-keeping principles
• Experience in maintaining compliance registers, regulatory records and supporting evidence
• Exposure to Representatives, Juristic Representatives, complaints management or compliance-monitoring processes (advantageous)
• Strong administrative, organisational and deadline-management skills.
• Strong attention to detail and accuracy
• Ability to maintain complete, accurate and inspection-ready records and supporting evidence
• Experience in regulatory record management, document control, version management and compliance reporting
• Excellent verbal and written communication skills
• Strong analytical and problem-solving skills
• Strong stakeholder-engagement, training and presentation skills
• Proficiency in Microsoft Word, Excel, Outlook and electronic document-management systems
• Valid Code 08 driver’s license
• Ability to handle confidential client, employee, business and regulatory information with integrity and discretion
  

Take the next step in your career with TWK Agri, a trusted leader in agriculture and beyond.

*The company can expire job adverts at any time at their own discretion.
**TWK Agri supports the principles of Employment Equity and reserves the right to prioritise candidates in line with our Employment Equity targets.
***Please note that although this position is advertised in Krugersdorp and Pretoria, a placement at each is not guaranteed. The successful candidate will be appointed at one of these locations, based on operational requirements and suitability.