Purpose of the Role

The role requires the incumbent to provide administrative, operational and governance support to the Internal Governance Officer and broader governance functions within SRA: Risk & Savings. This includes supporting Party Due Diligence (PDD) activities, compliance monitoring processes, regulatory reporting, governance record keeping and the effective administration of legislation including FICA, POPIA, the Long-term Insurance Act Regulations, Prudential Standards and Policyholder Protection Rules (PPR).

Outputs / Core Tasks

The following outcomes will be expected to be achieved by the Compliance Administrator:

Support Function for Due Diligence:

• Assist with maintenance of record keeping of AML, CFT, CPF documentation.
• Custodian of archived records and ensure ease of accessibility.
• Maintain enhanced due diligence Hitmaster list for high-risk clients and where additional controls are applied. 
• Keep track of and support Internal Governance Officer with ad hoc projects.
• Assist with the batch drop tracking progress and support with the preliminary steps of the process.
• Support New Business team including FICA Specialists, Party Due Diligence Analysts and AML Analysts with volumes when required.

Governance/ Compliance:

• Facilitate record keeping in terms of various relevant legislation:

• • POPIA (breach management, IRC, DSP).
  • PPR (Product Development Framework, Governance Frameworks, Data Management Framework, etc).
  • FICA responsibilities (process documents, static and dynamic risk controls/ evidence, track FICA training).

• Facilitate the maintenance and version control of the various internal policies, standards, frameworks and other documents stored in a centralized internal location.
• Track the various dates for submission by SRA: Risk & Savings to assurance providers and regulators and ensure preliminary preparations are done to facilitate these submissions e.g. quarterly AML/ CFT/CPF submission to the Prudential Authority & Annual Regulatory Report Submissions.
• Liaison with relevant stakeholders for gathering and submission of sampling for monitoring and control testing.   
• Liaison with relevant stakeholders for any requirements relating to STR and SAR investigations or Section 27 FICA requests.
• Support the Internal Governance Officer with the upkeep and maintenance of the Outsourcing register.

Reporting:

• Monthly feedback with Internal Governance Officer to track and report on various activities relating to overall Administrative Compliance, Operational and Governance matters.
• Regular reporting to Internal Governance Officer on any New Business production issues.
• Assist with and feedback on 2nd line compliance activities requests.
• Coordinate the monthly FICA reporting process by collecting, consolidating, reviewing and distributing compliance monitoring responses between the business and compliance.
• Maintain the High-Risk Client register and record all approved enhanced due diligence outcomes.
• Support the Internal Governance Officer with regulatory engagements and information requests received from the AML CoE/external stakeholders.
• Support STR, SAR and CTR reporting processes and liaise with the AML CoE where required.
• Assist with POPIA breach management administration, investigation tracking and reporting requirements.
• Support the compilation and coordination of quarterly AML and data privacy reporting submissions and supporting evidence.
• Maintain governance repositories, electronic filings and compliance records management to ensure audit readiness and effective version control.
• Support the Internal Governance Officer with the maintenance of outsourcing registers, risk assessments and SRA: Risk & Savings Compliance documentation.
• Provide administrative support during audits, compliance reviews, regulatory inspections and governance forums.

Role Requirements

Qualifications:

• Grade 12
• Relevant qualification in Compliance Management, Governance, Risk Management, Law or Business Administration.

Experience:

• 3 – 5 years’ experience in a similar role within Financial Services.
• Exposure to regulatory reporting, risk management, governance administration, record management and audit support processes.

Knowledge:

• A solid understanding of the risk management process.
• Knowledge of the compliance monitoring process.
• Knowledge of customer due diligence requirements and primary Legislation i.e FICA, LTIA, PPR, POPIA, LTIA Regulations.

Competencies:

• Communicates effectively
• Decision quality
• Analytical thinking
• Cultivates innovation
• Plans and aligns
• Concern for accuracy
• Customer focus
• Collaborates
• Drives results
• Influencing and gaining commitment
• Team focus
• Being resilient
• Computer skills (MS Office – Word and Excel advanced level)

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 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. 

Closing Date: 5 November 2026.

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