Job Summary
The Compliance Support Administrator role is in the Group Compliance Services and Advice (GCSA) team and is responsible for providing administrative support to the compliance department and business. Further for creating and maintaining the Representative Registers for all Discovery FSPs.
Duties And Responsibilities
Conducting Pre-Employment for representatives
Requesting for documents when omitted
Compiling Viabilities for representatives
Analysing feedback received for Credit, Criminal and Qualification checks.
Liaising with various external vendors regarding Credit / Qualification checks.
Communicating to business and provide feedback
Attending to general queries and provide feedback to business
Capturing and on-boarding of representatives on system
Adding and removing of representatives at the FSCA
Adding and removing of categories on system and at the FSCA
Assisted in drawing up SOP’s
Requesting to open commission code for Reps according to registrations at FSCA
Checking and processing Supervision Sign-offs
Analysis of all fit and proper requirements on representatives
All maintenance requirements on representatives
Conduct investigations related to representatives,The Compliance Support Administrator role is in the Group Compliance Services and Advice (GCSA) team and is responsible for providing administrative support to the compliance department and business. Further for creating and maintaining the Representative Registers for all Discovery FSPs.
Qualifications And Experience
Competencies and skills
Strong listening and communication skills;
Work independently and as part of a team when required;
Support management in achievement of team objectives as well as Group Compliance’s objectives;
Efficient time management skills, including quick turnaround time on work;
Attention to detail;
Knowledge of Business Procedures, Rules, Processes and Controls.
Education and Experience
3 years monitoring, auditing or quality assurance experience in a Financial Services/ Insurance environment
Experience in drafting Compliance Risk Management Plans and conducting Compliance Monitoring
Relevant tertiary qualification.
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