Job Summary

• The Client Relations Consultant will be a primary point of contact for clients, responsible for delivering exceptional end-to-end service. The ideal candidate will handle all client queries related to stockbroking services, ensuring a seamless experience while building strong, lasting relationships with clients. This role requires a proactive, client-focused individual who can effectively manage multiple tasks in a fast-paced environment.

Job Description

Key Accountabilities

Accountability: Provision of KYC Expertise

• Check documentation/ mandates to ensure it is correct first time in terms of KYC Regulatory, Business, Legal and Audit Requirements and if not correct full provide full details to the front line in terms of requirements so as to ensure compliancy .
• Check and validate files prepared by front line on a trigger event as described in terms of Absa’s regulatory policies and framework. Be alert for any information that could be considered suspicious and bring these to the attention of the RE / OB and the Client Relations Manager.
• Identify training gaps and escalate to management where applicable in order to up skill frontline staff in order to embed a first time right attitude and overall regulatory compliance.
• Record and escalate nonconformance / deviations from policy and regulatory requirements to management for remediation / corrective action. This entails the recording and maintaining of KYC statistics on a daily basis as determined by Absa’s regulatory framework and business rules thus maintaining the necessary risk controls and the prevention of relationships with non-compliant customers, e.g. frontline staff adheres to the process with respect to non-compliant customers before clients are placed into lock up (clients not able to transact on their accounts)
•  Ensure all documentation is fully complaint before approval is granted to frontline to proceed with instructions thus ensuring that SPM is not in breach of KYC and KAMLS regulatory requirements, e.g. SPM not running a reputational risk and the risk of monetary losses as a result of non-compliance.
• Adhere to Absa Clean Desk Policy

 Accountability: KYC Regulatory and Compliance Risk Factors

• Monitor and control assigned pending matters, e.g. following up on diary dates set for the remediation of noncompliant customer files, etc.
• Escalates to the next level if not remediated within the rules of the regulatory framework , this will refer to Exemption 4, outstanding documents, resolutions, etc.

Accountability: Self Development

• Remain up to date with all regulatory and compliance related information and Credit Policy issues
• Maintain and continuously look for opportunities to further develop skills and knowledge base
• Build on a sound understanding of commerciality and the implications of compliance within the workings of Absa Capital
• Keep abreast of training initiatives for the Regulatory Compliance environment

Accountability: Team Work

• Attend team meetings on a regular basis and contribute fully, including suggestions for ways of improving customer service with special reference to regulatory compliance issues
• Contribute to an environment of mutual support by sharing knowledge with other team members.
• Take responsibility for routine duties on a rota basis with other members of the team to enhance learning within the team.

Role / Person Specification

Education and Experience Required

• South African Institute of Financial Markets (SAIFM) Certificate or equivalent to NQF level 5.
• Three (3 ) years’ experience as an Administrator within the financial services

Knowledge & Skills: (Maximum of  6)

• Knowledge of Systems (MCI, JSE system, I Net, )
• Computer literacy (MS Office)
• Knowledge of Investment industry
• Administrative Skills
• Written and verbal communication skills
• Basic accounting skills
• Problem solving skills

Competencies: (Maximum of 8 competencies)

• Adhering to principles and values
• Applying expertise and technology
• Coping with pressures and setbacks
• Deciding and initiating action
• Delivering results and meeting customer expectations
• Following instructions and procedures
• Planning and organising

Education

• Further Education and Training Certificate (FETC): Business, Commerce and Management Studies (Required)