Business Enablement: Monitoring Officer

2 weeks ago

Johannesburg, Gauteng, South Africa Headhunters Full time

Our client, a reputable financial services organisation, is seeking to appoint a highly skilled Business Enablement: Monitoring Officer to join their team based in Sandhurst, Johannesburg.

This position is based full-time at their Head Office in Sandhurst, Johannesburg. (Monday to Friday).

An excellent opportunity for an experienced compliance professional looking to advance their career in a dynamic, regulated environment.

Requirements:

  • Relevant degree in Law, Finance, Compliance, or a related field (essential).

  • Minimum 3 years' experience in compliance monitoring within a Category I and II financial services provider environment.

  • Strong knowledge of:

    • FAIS, FICA, CISCA and related legislation

    • Advice monitoring frameworks

    • Investment mandate oversight (CAT II)

    • Discretionary investment processes and TAA monitoring

    • Compliance risk management principles

  • Proficiency in MS Office and strong computer literacy.

  • Post-graduate qualification in compliance or risk management (advantageous).

  • CISA CPrac or CProf designation (advantageous).

  • Experience managing audit findings and compliance reviews.

Responsibilities (include but are not limited to):

Compliance Monitoring and Oversight

  • Conduct ongoing monitoring of Category I and II advisory and investment activities.

  • Review CAT II investment activities to ensure mandate alignment, thresholds, limits, and governance adherence.

  • Monitor compliance with agreed investment strategies, including variance reporting.

  • Ensure adherence to Treating Customers Fairly (TCF) outcomes.

Risk Identification and Reporting

  • Analyse advice monitoring results and escalate areas of concern.

  • Identify, investigate, and document potential breaches or irregularities.

  • Maintain accurate compliance records, reports, and procedural documentation.

  • Assist with preparing reports for Key Individuals, governance forums, and regulatory reviews.

Compliance Framework Support

  • Support the development and maintenance of a regulatory compliance monitoring plan.

  • Participate in compliance and advice risk committee meetings.

Guidance and Stakeholder Support

  • Provide compliance guidance to Financial Planning Partners, BDMs, Para-planners, and Operations Managers.

  • Engage collaboratively to promote advice quality and regulatory-compliant practices.

Competencies:

  • Excellent written and verbal communication

  • Analytical and critical thinking skills

  • High attention to detail and accuracy

  • Strong administrative ability

  • Ability to work independently and meet deadlines

  • Assertiveness and confidence in decision-making

Attributes:

  • Professional, well-presented, and articulate

  • Strong relationship-building ability

  • Resourceful, proactive, and solution-driven

  • Able to work under pressure and manage multiple tasks

  • Willingness to learn, grow, and handle a wide range of tasks

Only shortlisted candidates will be contacted. If you do not receive a response within two weeks of applying, please consider your application unsuccessful.

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