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Manager: Intermediary Services Relations

Assupol Life - Menlyn, Pretoria, Gauteng

Full-Time | Law

Closing date yi 1st ka October 2020

Purpose

  • To assist the Assupol and its brokers comply with their legislative responsibilities.

Requirements

  • Matric
  • LLB degree / Risk Management
  • Member of the Compliance Institute (advantage)
  • 2 - 3 years Management experience
  • 5 years financial services industry experience

Responsibilities

Manage the Debarment process:

  • Receive instruction from the Head: Compliance & Regulatory Affairs
  • Collection of relevant documents from various sources
  • Identify outstanding requirements and request them from the relevant parties
  • Draft, sign and dispatch the debarment notices to the relevant parties
  • Initiate at the debarment hearings
  • Inform the relevant parties of the outcome of the hearings
  • Deal with matters ancillary to and arising after the debarment hearing
  • Compilation of the debarment pack and manage the submission of the pack to the regulator
  • Manage relationship with the regulator relating to process of debarment
  • Responsible for the reporting of debarment statistics to be included in the Management reports, Board Risk Committee report and Board report.
  • Responsible for trend analysis and implementation on remedial action identified from trends

Manage the Replacement process:

  • Responsible for the review and implementation of the replacement policy
  • Manage the replacement process internally and Externally
  • Ensure compliance with the replacement policy and deal with the technical issues as related to this policy.
  • Manage the relationship with the ASISA and FSCA replacement process
  • Ensure that the replacement process as prescribed by ASISA and FSCA and the regulator is implemented
  • When requested to by Asisa provide opinions on replacement related issues.
  • Responsible for the ASISA and FSCA and Regulator process which l include the following:
  • Ensure compliance with the Asisa Replacement standard
  • Ensure that the cooling off letters are dispatched
  • Deal with queries relating to the replacement of policies
  • Communicate and liaise with intermediaries and management to ensure compliance with the policy
  • Deal with technical queries relating to the replacement of policies
  • Consider written representations submitted by Intermediaries in the event of non-compliance with the policy and standard
  • Continuous and ongoing maintenance of the Asisa replacement register
  • Report issues of non-compliance to the internal replacement tribunal
  • Ensure that sanctions and remedial measures determined by the internal tribunal are enforced which shall include the issuing of the instruction to reverse commission if determined by the tribunal
  • Providing guidance to Assupol intermediaries who have been referred to the Asisa Review Board
  • Responsible for the reporting of replacement statistics to be included in the Management reports, Board Risk Committee report and Board report.
  • Responsible for trend analysis and implementation on remedial action identified from trends
Lomsebenzi ufakwe ngu Tebuho Moshoeshoe nge 18 ka September 2020