Business Enablement: Monitoring Officer

Recruiter:

Greys Personnel

Job Ref:

DBN003341/Themb

Date posted:

Friday, November 14, 2025

Location:

Sandton, South Africa

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

How to apply:

Follow the link to our job seekers ’ page -

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