Business Enablement: Monitoring Officer

SUMMARY:
Our Client, in the a prominent brand in the Financial Services Industry, is seeking to employ a Business Enablement: Monitoring Officer to their team based in Sandhurst, Johannesburg.

Purpose of role:
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.

POSITION INFO:
Requirements: Grade 12 \/ Matric Relevant degree (law, finance, or compliance) (required) Minimum of 3 years' compliance monitoring experience in a risk or compliance role in a category I and II financial services provider environment. Computer literate and must be proficient in MS Office (required) Post graduate compliance or risk management qualification (advantageous) CISA CPrac or CProf Designation (advantageous) 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. Responsibilities, but not limited to: 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. Please note that should you not receive a response within 2 weeks of applying, you may consider your application unsuccessful.