Head of Advice Risk and Legal : SLS SC Succession Fin Planning (Lynnwood) (PG 13) (Rerun)
Sanlam LimitedPretoria, Gauteng, South Africa25 days ago
Job descriptionPromote, monitor and drive the effective adherence of Compliance and Risk Management within the SFP / AFP by managing a team of compliance specialists and administrators, doing the following : Undertake to fully understand the content and impacts of all the relevant Compliance related legislation and requirements for the Financial Services industry. Be able to translate and interpret these practically and correctly to the planners and management. Demonstrate high levels of technical and product knowledge (including investment) to assess correct advice and product / need matching for clients. Undertake to train and coach planners and management on areas of compliance and related legislation as required. Ensure that all compliance practices and procedures within unit are strictly observed in terms of disclosures, advice given, records kept, and ethics / behaviour when dealing with clients and sales. Ongoing proactive monitoring of practices and cases submitted by planners. Draw weekly cases from the system and assess against requirements and standards. Address risks or anomalies with FA’s and management and ensure corrective actions are followed. Track, interpret and communicate trends or gaps in terms of risks within the unit (SFP / AFP). Keep records of all risk and problem areas for individuals and the unit; report to management regularly. Work with line management and planners to ensure all advice facing intermediaries and management are fit and proper FAIS accredited and keep requirements up to date. Collaborate with Forensics and Finance as needed to investigate suspect submissions, practices or risk areas flagged. Build relationships within the Financial Services Compliance arena (ASISA etc) to stay informed on matters pertaining to the role. Field audits with management of practices. Field training content on advice and compliance-related topics. Complaint and advice policy and implementation guidance. Contract formulation and management. Legal counsel to senior management in disputes, and formulation of correspondence in complaints resolution. Manage a team of compliance administration and Advice and Risk Consultants in monitoring advice on new business. Take responsibility for and chair a complaints committee addressing all complaints against SFP planners; liaison with the Succession PI provider as needed. MS : Office (Word, PP, Excel) Compliance Tools (e.g., ALPHA, RITA) S.Net and Suite Compliance related regulations and legislation (FAIS, FICA, Money Laundering, etc.) Compliance Complaints process Audit / Forensic practices and process Risk management policies, practices and processes (including Reporting) Sales Advice process and compliance governances related to this Policy Replacement Rules Record of Advice Contracts and formulation Cultivates innovation Client centricity Results driven Collaboration Flexibility and adaptability Business insight Ensures accountability Decision quality Drives engagement Communicates effectively Treating customers fairly Interpersonal savvy - Contributing through others Plans and aligns - Contributing through others Decision quality - Contributing through others Business insight - Contributing through others Cultivates innovation - Contributing through others Customer focus - Contributing through others Drives results - Contributing through others Collaborates - Contributing through others Being resilient - Contributing through others
Overview
Head of Advice Risk and Legal : SLS SC Succession Fin Planning (Lynnwood) (PG 13) (Rerun)
Date : 18 Oct 2025
Location : Pretoria, Gauteng, ZA
What will make you successful in this role?
Qualification & experience
- Minimum Qualifications :
- Appropriate formal legal qualification.
- Product Class of Business knowledge and accreditation
- Compliance qualification required.
- CFP / RFP3 preferable
- Financial services, distribution / sales experience
- Strong management experience in a similar or parallel role
- Marketing Manager or BDM, legal consultant
- Strong administration, systems, process orientation / background
- Financial services experience and related capabilities
Knowledge and skills
Responsibilities
Knowledge and skills
Personal qualities
Personal Attributes
Build a successful career with us
We’re all about building strong, lasting relationships with our employees. We know that you have hopes for your future – your career, your personal development and of achieving great things. We pride ourselves in helping our employees to realise their worth. Through its five business clusters – Sanlam Fintech, Sanlam Life and Savings, Sanlam Investment Group, Sanlam Allianz, Santam, as well as MiWay and the Group Office – the group provides many opportunities for growth and development.
Core Competencies
Turnaround time
The closing date for applications is 31 October 2025
The recruiter reserves the right to withdraw the advertisement prior to the closing date or to allow further applications to be submitted after the closing date indicated.
The shortlisting process will only start once the application due date has been reached. The time taken to complete this process will depend on how far you progress and the availability of managers.
Our aim is to help you build a successful career with us
We’re all about building strong, lasting relationships with our employees. We know that you have hopes for your future – your career, your personal development and of achieving great things. We pride ourselves in helping our employees to realise their worth. Through its business clusters – Life and Savings, Sanlam Emerging Markets, Sanlam Corporate, Sanlam Investment, Santam, as well as the Group Office – the group provides many opportunities for growth and development.
Our commitment to transformation
The Sanlam Group is committed to transformation and embracing diversity. This commitment is what drives us to achieve a diverse, inclusive and equitable work environment as we believe these are key components to ensuring a thriving and sustainable business in South Africa.
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Head Of Legal • Pretoria, Gauteng, South Africa
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