KEY PERFORMANCE AREAS – FIA & AML COMPLIANCE

• Responsible for obtaining all KYC, FIA and AML documents of all clients ensuring that    Administration department adhere to all Risk assessment and
• EDD processes for new entities and accounts as per company policies and procedures.
  Re-verification of clients EDD / CDD annually as prescribed in the Client 
  Acceptance & Standards Policy.
• FIA & AML checks as and when necessary and ensure the updating of client 
  records
• Verify that all EDD and CDD documents obtained with the onboarding process is saved and archived in accordance with the Document Warehouse business process
• Data quality checking of new clients onboarded
•  Assist with the restrictions currently maintained on Silica LOB and manage client communication.
• Oversee sanction screening on all new business relationships entered with clients. Assist with documentation when the Regulator visits CAM onsite for inspections and will communicate with the Onboarding Team on the 
  Regulators requirements
•  Ensure that client onboarding documentation is in line with the Client Acceptance &Standards Policy and AML Policy
•  Ensure that the Administration department manages and assesses all new clients’ risk rating in-line with CAM’s Risk Assessment and Client Acceptance Policy.
• Ensure the collation of documents / information for execution within the client onboarding process. Operate, maintain and control an effective follow-up system essential in terms of what is required to meet the various deadlines of the company’s 
  business processes.
• Ensure that the administrative department processes and manages
  commission administration.

Sales

• Responsible for sales and promotion of Capricorn Unit Trust fund to various 
  distribution channel
• Be up to date with all the information and fine details of CUT funds and 
  CAM services.
• Adopting Digital transformation within Sales culture Provide product information on the following:
  o Capricorn Unit Trusts (CUT);
  o Republic of Namibia Treasury Bills, Government bonds;
  o Bank Windhoek investment products.
•  Assist in Assessing the clients’ investment needs, objective(s) and risk tolerance; and provide them with suitable investment option via Pocket Risk App profilingAssist with sales objectives, AUM and Management Fees targets are met as per Segment
•  Identify cross-selling opportunities and forward them to responsible person.
• Nurturing marketing qualified leads to different Segment channels and ensure closing of Sale.
• Responsible for resolving the various distribution channels’ service queries quickly, efficiently and courteously and within short timeframes
• Liaise with the various distribution channels to fulfil their investment needs and provide full investment support
• Primarily responsible with planning, scheduling and coordinating of all Branch, Retail, Wealth and Digital support activities
• Primarily responsible for implementing new and improved Branch, Retail, Wealth and Digital service procedures and system-based management tools/solutions
• Primarily responsible in developing business by expanding distribution channels, analyzing logistical problems and producing new solutions
• Assist in the development of information systems to assist the distribution channels to properly service and inform respective clients
• Assist in conducting market intelligence and sales reporting
• Assist with planning, scheduling and coordinating of various distributions channels support activities
• Primarily responsible with engaging with the various distribution channels pre and post sales

Customer

• Responsible for the maintenance of existing client relationships and the growth thereof
• Support FIA compliance through collation of all relevant client documentation on existing and new clients (KYC and EDD).
• Facilitation of on boarding new clients through BW Branches and walk-in clients.
• Ensure that customer complaints are handled immediately with positive results and respond to all service delivery issues.
• Ensure client instructions are carried out and processed Acts as custodian of CAM Client Service Charter and review CAM Client
• Service Charter as per mandated frequency

Digital Platform

• Assist in promoting the digital platform to all clients and business partners.
• Embrace digital client engagement methods for ongoing client/prospect.
• Provide technical support to all Capricorn Online users.

Support

•  Liaise with BW Branches regarding transaction and account queries
• Provide quotations on request
• Ensure that BW Branches have a CAM point of contact.
• Assist and Guide broker clients with general queries regarding products,
• services, business procedures and legislative requirements.
• Acts as liaison between CAM and brokers regarding transaction and account queries
• Support all marketing endeavors, implementation and execution.
• Assist with collation of existing client documentation
• Assist with the re-verification of clients EDD / CDD as required by the 
  Regulator and updating clients’ records.
• Assist in updating of clients’ records where documents expire (Passports, 
  Visas, etc.) is obtained
• Assist in obtaining client documents whose accounts are Restricted
• Identify Key Controls where it fails and impacts CAM FIA Business Processes.
• Assist and ensure that business processes are up to date to reflect the minimum requirements as per FIA & AML regulations, ongoing and future regulation changes.

Risk Management 

• Ensure proper knowledge and compliance to systems, policies and 
  procedures in channel support department.
• Self Development 
•  Keep abreast with national and international philosophies and practices, 
  financial markets, economic fundamentals and investment instruments
• Keep up to date with FIA/AML regulatory Acts and changes within the Act.
• Ensure complete familiarity with all relevant operational policy and procedural changes.
• Keep abreast with Digital transformation.
•  Knowledge and compliance of systems, policies and procedures.
• Constantly work to improve industry knowledge.
• Maintain own (PDP) Personal Development Plans.