Business Enablement: Monitoring Officer

SUMMARY:
We are hiring for a Business Enablement: Monitoring Officer on behalf of a leading financial services provider. The role is based at their head office in Sandhurst and involves monitoring advisory and investment activities, ensuring regulatory compliance, and supporting internal risk management processes. The successful candidate will help the business maintain ethical, sustainable, and compliant operations within the financial services sector.

POSITION INFO:

Key Responsibilities

• Conduct monitoring of advice and discretionary investment services to ensure compliance with regulatory requirements, internal policies, and client mandates
• Review investment activities to confirm mandate alignment, investment limits, and governance standards
• Ensure adherence to agreed investment strategies and thresholds
• Promote Treating Customers Fairly (TCF) outcomes in all advice and investment practices
• Analyze monitoring results, escalate concerns, and investigate potential compliance breaches
• Support the development of a regulatory compliance monitoring plan
• Provide guidance to Financial Planning Partners, BDMs, Para-planners, and Operations Managers on compliance and advice quality
• Maintain compliance records, reports, and procedural documents
• Assist in preparing reports for governance forums and regulatory reviews

Qualifications & Experience

• Relevant degree in Law, Finance, or Compliance (required)
• Minimum 3 years’ experience in compliance monitoring within a financial services environment
• Knowledge of advice monitoring, compliance frameworks, and investment mandate oversight
• Understanding of discretionary investment processes, TAA monitoring, and CAT II investment management
• Proficiency in MS Office (required)
• Postgraduate compliance or risk qualification (advantageous)
• CISA CPrac or CProf designation (advantageous)

Competencies & Attributes

• Strong verbal and written communication skills
• Analytical, detail-oriented, and organized
• Critical thinking, assertiveness, and ability to work independently
• Ability to multi-task and work under pressure
• Relationship-building, initiative-taking, and continuously learning

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