Compliance Monitoring Officer

SUMMARY:
Sandhurst - Are you a detail-driven compliance professional looking to fast-track your career and work toward your Compliance Officer license? This hands-on Business Enablement Monitoring Officer role offers the unique opportunity to gain invaluable, structured supervision and growth within an agile financial services environment.

POSITION INFO:
Our client is a prominent financial services and wealth management provider specialising in investment and advisory solutions. They operate within a flat, collaborative structure that values practical capability, agility, and continuous learning over rigid corporate titles.

The Compliance Monitoring Officer will focus predominantly (80-90%) on advice and investment monitoring for Category I and II financial services. Based full-time at the Head Office in Sandhurst, Johannesburg, this role is highly operational and detail-driven, focusing heavily on FAIS compliance, mandate validation, and advice oversight rather than broad regulatory policy creation.

Key responsibilities

• Conduct ongoing monitoring of advice and discretionary investment services to ensure compliance with the FAIS Act, internal policies, and client mandates.
• Review Category II investment activities to confirm mandate alignment, investment limits, and variance reports.
• Identify, investigate, and accurately document potential compliance breaches or irregularities.
• Monitor compliance with agreed investment strategies, ensuring practices consistently reflect Treating Customers Fairly (TCF) outcomes.
• Maintain comprehensive compliance records, registers, and procedural documents.
• Assist in preparing detailed monitoring reports for Key Individuals, governance forums, and regulatory reviews.
• Provide clear, practical compliance guidance to Financial Planning Partners, Para-planners, and operational teams.

• Matric (Non-negotiable) 
• A valid, relevant tertiary degree (Law, Finance, or Compliance).
• 2 to 3 years of practical compliance monitoring experience, ideally within a Category I and II Financial Services Provider (FSP) environment.
• Proven experience with practical FAIS monitoring, mandate validation, and advice oversight (essential).
• Backgrounds in compliance consulting firms or internal auditing environments will be highly advantageous.
• Proficient in MS Office with strong administrative capability.
• RE5 qualification is advantageous but not mandatory.

• Highly detail-oriented, methodical, and organized.
• Hands-on, practical approach with a strong willingness to learn and accept developmental guidance.
• Excellent verbal and written communication skills, with the ability to explain compliance concepts simply and clearly.
• Assertive yet collaborative, with the ability to build strong working relationships across a flat business structure.
• Resilient and comfortable managing repetitive, detail-heavy processes without losing focus.