Advisor and Liaison for Compliance Officer.

• Monitor daily activities of Clerk: as far as FICA compliance activities are concerned.
• Provide training and continuous guidance in respect of on-boarding processes and procedures, compliance with FICA and related legislation.
• Over-seeing the collection of outstanding FICA requirements from existing shareholders.
• Reporting to Compliance officer progress and issues.

 Anti-Money Laundering/ FICA Compliance: Verifications, Approvals and Training.

• Approving Officer: Verify compliance with AML/FICA requirements in respect of new and existing shareholders on client on-boarding platforms (Docfox):
• Review of FICA (KYC) provisions in the Company’s RMCP.
• Facilitate required updates of AML/FICA related documentation in business units.
• AML/FICA and Docfox Training:
• Develop and maintain training material and presentation thereof.
• Evaluate and manage online FICA training content.
• Maintain record of attendance.
• Provide Inviters/Salespersons with coaching and guidance relating to on-boarding procedures.
• Provide guidance on FICA requirements to business units.
• Liaise with and provide guidance to business units to ensure correct document flow and implementation/utilisation of client on-boarding platform.
• Provide guidance with overall management of FICA requirements.

 Management of electronic FICA verification and record keeping platform (Docfox)

• Ensure full and effective implementation of Docfox platform by various departments.
• Administration: Users’ registrations and Maintenance.
• Effective management and maintenance of availability of the system.

 Facilitate Compliance Training Administration for the Group

• Liaising with Compliance Online Support.
• Liaising with Nominated Trainees and their Respective Division Managers where necessary for Registration, Administration and Billing purposes.
• Drafting of Supporting documents and administrative material for the Creation of new.
• Division portfolios and Training Windows.
• Registration of all employees nominated to complete Modules.
• Provide progress reports and feedback to Group Assistant Compliance Officer for
• Compliance Report, as well as to Division Managers upon request.
• Reconciliation of Invoices with Registered Senwes Nominees/cost centres, drafting payment requisitions, forwarding thereof to Group Company Secretary for payment.
• Authorisation and redirecting to Finance for payment before due date.
• Reconciliation of Invoices with other Companies within the Group’s Nominees/Cost.
• Centres and forwarding thereof to the relevant division for payment before due date.

 Execution and Administration: Trading Senwes and Agribel Holdings’ Shares (backup)

• Active liaison and point of contact for existing shareholders, new/potential shareholders, the Exchange and other potential stakeholders or Divisions.
• Receive mandates and relevant documents from shareholders and forward to Transfer Secretary.
• Contact client for instructions once their account has been opened by Computershare.
• Live processing of share trading transactions on the Exchange/other platforms as per instructions received by new and existing shareholders.
• Mitigating “Error Risk” by means of strict control measures and conformance to requirements.
• Verify whether shares are subject to cessions.
• Liaise with shareholders regarding buying and selling of shares and verify number of shares to be sold or purchased.
• Capture relevant information on share trading program.
• Ensure that buyers have sufficient funds in their account to facilitate transactions.
• Ensure that all incoming and outgoing calls/instructions are recorded or confirmed in writing.
• Maintain regular contact with buyers and sellers regarding transactions.
• Maintain record of share purchases for Agribel Holdings.
• Keep record of broker’s notes for all matched/settled trades and send same to buyers and sellers.
• Ensure that all trades involving directors and certain employees are reported to the Group Company Secretary.
• Keep record of broker’s exchange fees for all transactions and ensure repayment thereof to buyers and sellers on a monthly basis.
• Prepare relevant documentation, perform tasks and orders timeously.
• Handling of enquiries, queries and daily correspondence (telephonic, emails, walk-in, etc.)
• Ensure adherence to company statutory requirements.
• Obtain FICA Documents and related information from shareholders.
• Ensure that all incoming and outgoing calls are recorded.
• Ensure adherence to legislation within specified timeframes in respect of
• payments, securities tax.
• Adhere to FAIS legislation.
• Adhere to Insider Trading Act.
• Attend to customers immediately and in a professional manner whilst maintaining confidentiality.
• Attend to enquiries within a specified time frame.
• Always treat the customer with dignity, respect and a sense of urgency.
• Ensure that the environment is conducive to excellent customer service.
• Obtain relevant information from role-players for statutory purpose in a professional manner.
• Establish and maintain professional relationships with role players.

Requirements

• Qualifications:  National Senior Certificate. Candidates with relevant AML or FICA certificates will receive preference. 
• Requirements:  Minimum 3 years relevant experience in areas of Compliance, Risk, Financial or Anti-Money Laundering (FICA) and KYC. Thorough understanding of FICA and related legislation. Basic Accountancy knowledge. Basic understanding of Insolvency Act, Securities Tax Act, Estate Duty Act. Understanding of FAIS.