Insurer/UMA Division

UMA2

Insurer/UMA COMPLIANCE OFFICER PROFILES AND SUPPORT STAFF DETAILS

Divisional Manager

This position is currently being managed by the director responsible for Insurers and UMA’s Bryan Thomas

Robert Veal (Compliance Officer)

Rob started his career in the life assurance industry in September 1964, where he spent 13 years with a large life insurance office in London, ending his term there as a Resident Pensions Inspector.

He immigrated to South Africa in 1977 and developed his career at Hoskens, African Pension Trustees and First Bowring. In 1993, after a short time as an independent financial advisor, he was approached by Absa Consultants and Actuaries and in 1997 took up his appointment as Regional Manager, KZN based in Durban.

Rob semi-retired from corporate life in 2004. Since then he has worked closely with Intelligent Compliance and Education and became a registered Compliance Officer in December 2010.

Rob has a diploma as a Fellow of the Institute of Life and Pensions Advisors and subsequently qualified as a Certified Financial Planner in 1996 and has completed his fist level regulatory exam for Key Individuals.

He services the Associated Compliance clients in Kwa Zulu Natal for all divisions as well as a portfolio of clients in Gauteng.

Judy Russel-Smith (Compliance Officer)

Judy has been in the financial services industry in a corporate environment for many years and predominantly in a legal and compliance role.

She has gained experience in Medical Schemes (Broker environment), Retirement Funding (Consulting and administration of funds), Long-term Insurance (Financial Planning), and Short-term Insurance (Personal and Commercial Lines).

She was the Compliance Officer at Glenrand MIB Benefit Services (Pty) Ltd from 1999 to May 2004 and then Chief Compliance Officer at Glenrand MIB with full group responsibilities across FAIS categories I, II and IV. When Glenrand MIB merged with AON in 2011, she was appointed to head the compliance team within the AON legal and compliance division.

She joined the broker division team at Associated Compliance in August 2013.

Willem Steyn - Compliance Officer (under supervision)

Willem has been in the financial services industry for over 20 years. His experience has been in short-term insurance (Personal and Commercial Lines).

He joined Pretium Services in 2007 and has gained a good understanding of both the legislative and procedural aspects of the FAIS legislation while providing internal administrative assistance to FSP clients.

Willem has completed a Qualification in Risk Management through UNISA, and is now a Compliance Officer under supervision dealing with all categories of client.

Claire Mitchell - Compliance Officer (under supervision)

Claire started off in the insurance industry in 2004 where she spent a few years in the insurance broking environment in underwriting, administration and sales. She then joined a UMA and worked for three years focussing on the renewal process. After joining a broker using direct marketing as its means of sales, she was appointed as internal Compliance Manager and was registered with the FSB in 2014 as a Compliance Officer under supervision.

She joined Associated Compliance in March 2016, and is now nearing the end of her three-year supervision period.

Claire has achieved the Programme in Risk Management through UNISA, and has completed the Level One Regulatory Exams for Key Individuals and Representatives.

She currently works in with all client types.

Support staff

  • Natalie Van Heerden
  • Thabang Mogano
  • Katleho Sikosana

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