Business Enablement: Monitoring Officer - Sandhurst

SUMMARY:
Our client is looking for a Monitoring Officer to ensure excellence and compliance in Category I and II advisory and investment activities.

In this key role, you will uphold regulatory standards, safeguard advice quality, and mitigate risk across advisory and discretionary investment functions, driving ethical, sustainable, and trusted business practices.

POSITION INFO:
Key Responsibilities

• Monitor Category I and II advisory and discretionary investment activities for compliance with FAIS, internal policies, and client mandates.
• Review CAT II investments for mandate alignment, limits, and governance.
• Ensure adherence to agreed investment strategies and TCF outcomes.
• Analyse monitoring results, escalate issues, and document potential compliance breaches.
• Support regulatory compliance plans and provide guidance to staff on compliance and advice quality.
• Participate in risk and compliance committees; maintain records and assist with reporting.

• Degree in law, finance, or compliance (required).
• Proficient in MS Office; computer literate.
• Postgraduate compliance/risk qualification or CISA/CPrac/CProf (advantageous).
• 3+ years’ compliance monitoring experience in Category I/II financial services.
• Knowledge of advice monitoring, discretionary investment processes, CAT II management, FAIS, FICA, and CISCA.
• Strong analytical, communication, and organizational skills; attention to detail.
• Ability to work independently, meet deadlines, multi-task, and adapt under pressure.