Capricorn Group Limited - windhoek, namibia
a month ago
Listing reference: capgh_000196
Listing status: Online
Apply by: 28 August 2023
The positions primary responsibility is to ensure that all documentation and leads received from the various sales channels are followed up and completed, this should be in line with CAMs customer acceptancy policy. Furthermore, this position should ensure that CAM complies with the regulatory requirements as per the Financial Intelligence Act, Act 13 of 2012, by identifying and establishing the identity of a prospective client.
Key Performance Areas
- Ensure that all opening documentation received from the various sales channels are complete and signed off.
- Ensure that the correct EDD/CDD documents are obtained from the client.
- Assist and liaise with the various Sales channels, Onboarding team and clients to ensure that clients onboarding documentation is in line with the required policies, procedures, and manuals.
- Engage with clients to obtain outstanding documents required to open new accounts.
- Fully understand the risk rating assigned to all new client business relationships and impact on FIA and AML.
- Ensure quality checks are done before handing over of documents to the Onboarding team.
- Support Sales and Channel Support Team with FIA related queries.
- Support and assist brokers with queries and guidance on opening of new entities and with FIA related queries.
Support to the FIA Administrator
- Assist with re-verification of clients EDD / CDD as required by the Regulator and updating of clients records.
- Assist with updating clients records where documents expired (Passports, etc.)
- Assist with reporting on remediation of alerts and applicable documentation reverifications actioned on clients records.
- Liaise with the AML Compliance Officer on any irregularities with regards to AML compliance, to ensure proper managing of changes.
- Compile restrictions and other relevant reports as required by the Regulator.
- Report on reverification remediated progress.
- General reporting as required by Management to ensure proper record keeping.
- Ensure proper knowledge of systems and procedures.
- Keeping abreast with changes with FIA & AML Regulations
- Keep abreast with Compliance policies and procedures.
- Stand-in for FIA Administrator in his/her absence
- Knowledge of administrative and clerical procedures.
- Respects confidentiality in discussing clients, staff, and organizational matters.
- Exhibits genuine concern for participants and always conducts oneself appropriately and professionally.
- Self-confidence and interpersonal skills.
- Ability to apply common sense understanding to carry out detailed written or oral instructions.
- Computer literacy essential (MS Word, Excel, and PowerPoint).
- Professional image and grooming
- Problem solving skills.
- Excellent listening skills
- Planning and organizing skills.
Qualifications and Experience
- Grade 12 with commercial subjects and at least 3 years relevant experience within similar environment