FICA Assistant

• Obtain
  required account-opening documentation from Operations and/or customers
  
• Review
  documentation received against the applicable account-opening checklist
  
• Identify
  missing, incomplete, expired, or inconsistent documentation
  
• Follow up
  with Operations and relevant employees regarding outstanding documentation
  
• Contact
  customers directly where Operations is unable to obtain the required
  information
  
• Maintain a
  tracking schedule of outstanding account-opening documentation
  
• Escalate
  material or overdue documentation issues to the Credit and FICA Supervisor
  
• Ensure
  documentation is appropriately filed and readily retrievable
  
• Assist with
  account-operating queries from Operations and Finance
  
• Ensure that
  account-opening documentation requirements are consistently applied
  
• Obtain
  required FICA documentation from customers
  
• Assist with
  customer identification and verification processes
  
• Obtain and
  maintain information relating to legal entity details, directors, members,
  partners, beneficial owners, authorised representatives, persons acting on
  behalf of customers, ownership structures, sources of funds or wealth (where
  applicable), business activities, the nature of the business relationship,
  proof of address, and other supporting documentation
  
• Review
  documentation for completeness, validity, and consistency
  
• Identify
  expired or outdated FICA documentation
  
• Initiate
  periodic FICA reviews and documentation updates
  
• Follow up
  with customers regarding outstanding or updated information
  
• Maintain
  accurate records of customers' FICA status
  
• Escalate
  unusual, incomplete, or potentially high-risk customer information to the
  Supervisor
  
• Assist with
  enhanced due diligence processes where required
  
• Ensure
  customer information is handled confidentially and in accordance with company
  policies
  
• Monitor
  daily outstanding-document reports
  
• Maintain
  professional and constructive relationships with internal and external
  stakeholders
  
• Send
  reminders and formal requests for outstanding documentation
  
• Maintain an
  ageing report of outstanding documentation
  
• Escalate
  overdue items in accordance with agreed escalation procedures
  
• Track
  commitments received from customers and internal departments
  
• Ensure all
  follow-up actions are documented
  
• Identify
  recurring reasons for documentation delays and report these to the Supervisor
  
• Check
  documentation against approved checklists
  
• Confirm
  that documentation is legible, valid, and complete
  
• Maintain
  electronic and/or physical customer files
  
• Ensure
  documentation is filed under the correct customer and document category
  
• Assist the
  Supervisor with the preparation of FICA-related reports and submissions
  
• Maintain
  schedules of regulatory submission due dates
  
• Gather
  supporting information required for regulatory submissions
  
• Ensure
  required information is complete and accurate before submission to the
  Supervisor
  
• Maintain
  records of reports and submissions made
  
• Assist with
  the administration and implementation of the RMCP
  
• Maintain
  RMCP-related registers and supporting documentation
  
• Assist with
  periodic compliance reviews
  
• Assist the
  Supervisor with arranging FICA and RMCP training
  
• Maintain an
  employee training register
  
• Monitor
  completion of mandatory training
  
• Send
  training reminders to employees
  

Requirements

• Grade
  12
  
• A Relevant certificate or diploma in Compliance,
  Credit Management, Finance Management, Accounting, Risk Management, Legal
  Studies or Banking/Finance would be advantageous
  
• Minimum of 2 to 3 years’ experience, preferably
  within Credit Control, FICA, Anti-Money Laundering, Financial Services or
  Accounting
  
• Experience
  in obtaining and reviewing customer documentation would be highly advantageous
  
• Experience
  dealing directly with customers and internal operational departments
  
• Experience
  maintaining electronic customer records and compliance registers
  
• Experience
  working with confidential information