Head of Advice Risk and Legal at Sanlam Group Pretoria, Gauteng

Head of Advice Risk and Legal – SLS SC Succession Financial Planning (Lynnwood, PG 13)

Location: Pretoria, Gauteng, South Africa
Company: Sanlam Group
Date Posted: 18 October 2025

About Sanlam

Sanlam is dedicated to empowering clients with affordable, suitable, and easy-to-understand financial solutions, primarily delivered through face-to-face intermediaries, as well as direct channels. With approximately 2,400 tied advisers and 2,000 independent brokers, Sanlam focuses on building enduring client relationships and providing adaptive solutions to meet financial needs.

Succession Financial Planning (SFP), a part of SanlamConnect, is a wholly-owned subsidiary of Sanlam, supporting Registered Financial Advisers (RFAs) in growing their practices and delivering holistic financial planning to clients.

Role Overview

The Head of Advice Risk and Legal is responsible for promoting, monitoring, coaching, and ensuring compliance and risk management within the SFP/AFP units. This role leads a team of compliance specialists and administrators and acts as a key legal advisor on complaints, disputes, and risk matters.

Key Responsibilities

• Lead compliance and risk adherence across the unit, ensuring alignment with financial services legislation.
• Interpret and translate complex compliance requirements for planners and management.
• Provide training and coaching on compliance, legislation, and product knowledge, including investment offerings.
• Monitor practices and cases submitted by planners, identifying and addressing risk areas promptly.
• Track and report trends, gaps, and risk issues to management.
• Ensure all advisers maintain FAIS accreditation and keep compliance credits up to date.
• Collaborate with Forensics and Finance teams on investigations related to suspect business practices.
• Build networks within the Financial Services Compliance arena to stay updated and influential.
• Conduct field audits, develop training content, and guide complaint and advice policy implementation.
• Draft and manage contracts and provide legal counsel to senior management.
• Chair complaints committees addressing both informal and formal complaints against SFP planners.

Qualifications & Experience

• Formal legal qualification required.
• Compliance qualification mandatory; CFP/RFP3 preferred.
• Strong product knowledge and Class of Business accreditation.
• Experience in financial services, distribution, or sales.
• Proven management experience in a similar role.
• Strong administrative, systems, and process management skills.

Knowledge & Skills

• Proficiency in MS Office (Word, Excel, PowerPoint)
• Familiarity with compliance tools (ALPHA, RITA) and S.Net Suite
• Deep understanding of regulations including FAIS, FICA, and Money Laundering
• Audit and forensic practices
• Risk management policies and reporting
• Sales advice process and compliance governance
• Contract formulation and record of advice

Personal Attributes

• Cultivates innovation and drives results
• Client-centric with strong business insight
• Collaborative, adaptable, and resilient
• Ensures accountability and decision quality
• Excellent communication skills
• Upholds ethical standards and treats customers fairly

Career Growth

Sanlam provides employees with opportunities to grow and develop within its business clusters, including Life and Savings, Sanlam Emerging Markets, Sanlam Corporate, Sanlam Investment, Santam, and the Group Office. Employees are supported to realize their potential and achieve career goals.

Commitment to Transformation

Sanlam is committed to creating a diverse, inclusive, and equitable workplace. Employment equity and transformation are key pillars in ensuring a thriving and sustainable business in South Africa.

Application Deadline: 31 October 2025

Advance your career with Sanlam by leading compliance, risk, and legal oversight in a dynamic financial services environment.