Josh Patterson
Compliance Officer
Cape Town
Summary
With a robust foundation in legal compliance and a keen focus on regulatory frameworks, my role at Glacier by Sanlam is a testament to my dedication to upholding the highest standards of corporate governance. At the heart of my professional ethos lies a commitment to integrity and precision in managing compliance operations, ensuring our organization adheres to the evolving landscape of industry regulations.
My expertise in data analysis and regulatory compliance, honed through hands-on experience, enables me to effectively analyze policies and onboard clients with meticulous attention to detail. As a team collaborator, I thrive in driving initiatives that foster compliance excellence, contributing to the secure and trustworthy environment that Glacier by Sanlam is known for.
Overview
5
5
years of professional experience
4
4
years of post-secondary education
1
1
Certification
Work History
Compliance Officer
Sanlam Life
11.2023 - Current
- Development and maintenance of the compliance framework, subsequent compliance risk assessments, and compliance risk management plans used within the business unit.
- Management of relationships with regulators, maintaining open lines of communication to ensure transparent operations.
- Evaluation of regulations that have a potential impact on business operations, taking proactive measures to ensure readiness for implementation.
- Conducting compliance monitoring and reporting breaches to Senior Management.
- Provision of guidance on regulatory matters, to enable informed decision-making within the organization.
Junior Compliance Officer
Ninety One
01.2022 - 10.2023
- Reviewed and approved all marketing literature, duly lodging all applicable material with the concerned regulators.
- Oversight of Debt and Equity exposures
- Ensured appropriate level of training within the organization.
- Oversight and processing of Wall Crossings.
Compliance Intern
Glacier by Sanlam
02.2020 - 12.2021
- Maintained up-to-date knowledge of applicable laws and regulations.
- Identified gaps in existing compliance processes and recommended updates.
- Assisted with development of compliance objectives and strategies.
Education
Bachelor of Laws - Law
University of The Western Cape
Western Cape 01.2015 - 12.2018
Skills
Compliance Monitoring
Attention to Detail
Compliance Reporting
Corporate Governance
Anti-Money Laundering
Regulatory knowledge
Policy analysis
Compliance reviews
Internal Controls
Compliance Monitoring
Certification
Service Provider Training - Bermuda
Timeline
Service Provider Training - Bermuda
03-2024
Compliance Officer
Sanlam Life
11.2023 - Current
Junior Compliance Officer
Ninety One
01.2022 - 10.2023
Compliance Intern
Glacier by Sanlam
02.2020 - 12.2021
Bachelor of Laws - Law
University of The Western Cape
01.2015 - 12.2018
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