Compliance Administrator Cape Town CBD

Well-established financial services client from Cape Town CBS is looking for a Compliance Administrator with 3-4 years of Pension Fund/Compliance experience.

Salary Negotiable

Minimum Requirements:

Relevant qualification

Compliance Certification an added bonus

Minimum 3 years of experience in the compliance/ pension fund industry

FAIS Compliance

Provide compliance documentation to external compliance officers for submission of Bi-Annual Compliance Report

Update compliance file with current registers and declarations

Monthly reports compiled and sent to Compliance Officers

Compliance Monthly registers

Checking of Broker applications for outstanding information and completeness

Confirm Broker agreements

Update broker records when letters of authorisation are received

Maintain Representative register

Maintain compliance document register and ensure updates are finalized timeously

Ensure that the company complies with FAIS and other applicable legislation

Maintain companies categories

Ensure record-keeping is maintained

Fund Compliance

Ensure that compliance files are maintained in hard copy (where applicable) as well as electronically.

The categories are:

Rules, regulation & SARS approvals

Regulatory approvals and exemptions

Codes and Policies

Sub-committee mandates

Minutes

Ensure that valuation exemption (Regulation 2) certificates are maintained for all funds.

Ensure that an electronic copy of the signed fund annual financial statements is maintained.

Follow-up and confirm annual PI cover renewal.

Ensure that FSB and SARS approvals exist for all rules, special rules, and rule amendments.

Send registers to PO 2 weeks before Trustee Meetings:

S14

Special Rules

Death Claims

Unclaimed Benefits

Tracing Reports

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