Description:
The Compliance / Monitoring Officer will be responsible for ongoing monitoring of Category I and II advisory and investment activities within the business. This includes ensuring adherence to regulatory requirements, advice quality standards, and internal risk frameworks. The role will play a critical part in identifying and mitigating compliance risk across both advice and discretionary investment functions, contributing to sustainable, ethical, and regulatory-compliant business practices.Role Responsibilities: Main areas of responsibility will include:
Conduct ongoing monitoring of advice and discretionary investment services to assess compliance with FAIS, internal policies, and client mandates.
Review CAT II investment activities to confirm mandate alignment, investment limits, and appropriate governance.
Monitor compliance with agreed investment strategies (including mandate thresholds and variance reports).
Ensure advice and investment practices reflect Treating Customers Fairly (TCF) outcomes.
Analyse advice monitoring results and escalate areas of concern.
Identify, investigate, and document potential compliance breaches or irregularities.
Support the development and maintenance of a regulatory compliance monitoring plan aligned to group frameworks.
Provide guidance to Financial Planning Partners, Business Development Managers, Para-planners, and Operations Managers on compliance and advice quality requirements.
Participate in relevant compliance and advice risk committees.
Maintain compliance records, reports, and procedural documents.
Assist in preparing reports for Key Individuals, governance forums, and regulatory reviews
Qualifications
Relevant Qualification will secure : law, finance, risk, compliance
Must be proficient in MS Office (required)
CISA CPrac or CProf Designation (advantageous)
Knowledge and Experience
Minimum of 3 years compliance monitoring experience in a risk or compliance role in a category I and II financial services provider environment.
Knowledge of advice monitoring, compliance frameworks, and investment mandate oversight
Knowledge of discretionary investment processes and TAA monitoring.
Knowledge of CAT II investment management, including 80/20 variance monitoring and mandate validation.
Knowledge of the requirements, implementation, application and monitoring of FAIS, FICA and Collective Investment Schemes Control Act.
Knowledge and understanding of legal principles and ability to interpret legislation.
Knowledge and understanding of compliance risk management principles.
Experience with managing audit findings
30 Jan 2026;
from:
gumtree.co.za