Quality Assurance Officer

7 days ago


Cape Town, Western Cape, South Africa Nedbank Full time
Job Classification

Requisition - a critical role within Nedbank Wealth Management SA Division.

Cluster - Nedbank Wealth Cluster.

Location - This position is available in our Johannesburg and Cape Town offices.

Key Objective - Ensure compliance with regulatory requirements and internal standards.

Job Family

Risk, Audit, and Compliance.

Career Stream

Regulatory Compliance.

Leadership Pipeline

Manage Self: Technical (MST).

FAIS AffectedJob Purpose

This role involves reviewing and ensuring compliance with regulatory requirements, including FAIS, Market Conduct, and other relevant legislation. This includes monitoring and analysing regulatory risk indicators, conducting compliance checks, and maintaining advice quality assurance policies and procedures.

This will assist in ensuring high-quality standards, reducing client complaints, and protecting our:


• FAIS licenses


• Advisers


• Clients

Key Responsibilities
  • Conduct compliance checks on new advice business to ensure compliance with regulatory requirements and internal standards.
  • Maintain and update advice quality assurance policies, processes, and procedures.
  • Review and analyse information to ensure accuracy and correct processes followed.
  • Collaborate with cross-functional teams to develop and implement corrective and preventive actions.
  • Continuously improve processes and procedures to ensure compliance with regulatory requirements.
  • Provide support to the Advice Specialist and Advice Governance Specialist.
Key Requirements
  • Excellent analytical and problem-solving skills.
  • Strong attention to detail and a commitment to accuracy.
  • Effective communication and interpersonal skills.
  • Ability to conduct training sessions.
  • Methodical and meticulous attention to detail.
  • Good understanding of compliance issues.
  • Good time management skills.
  • Excellent interpersonal and IT skills.
Essential Qualifications
  • Diploma in Financial Planning, Commerce, or Law.
Preferred Qualifications
  • Degree in BCom with specialisation in financial planning, commerce, or a law degree.
  • Preferred certifications: CFP, FAIS (RE5).
Minimum Experience Level
  • 3 years working experience in the wealth management or private wealth environment.


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