Monitoring Officer (Compliance)

SUMMARY:
Sandhurst - Join a specialized team as a Monitoring Officer (Compliance) supporting advisory and investment oversight. This role focuses on ensuring high-quality compliance across Category I and II activities within the business.

POSITION INFO:
Our client operates within the financial services sector, providing advisory and investment solutions supported by strong governance practices. They maintain a robust regulatory environment and are committed to ethical, compliant, and customer-focused operations. The organisation values structured oversight and continuous improvement across all business functions.

In this role, you will be responsible for ongoing monitoring of advisory and discretionary investment activities. You will ensure adherence to regulatory requirements, internal policies, and advice quality standards. The position plays a key role in identifying compliance risks, supporting governance processes, and enhancing the organisation’s monitoring frameworks. You will work closely with internal stakeholders to provide guidance, escalate concerns, and maintain accurate compliance documentation.

Key Responsibilities: 

• Conduct ongoing monitoring of advice and discretionary investment services to assess compliance with regulatory and internal requirements.
• Review Category II investment activities, ensuring mandate alignment, investment limits, and governance adherence.
• Monitor compliance with investment strategies, mandate thresholds, and variance reports.
• Ensure advice and investment practices align with Treating Customers Fairly (TCF) outcomes.
• Analyse advice monitoring results and escalate identified concerns.
• Identify, investigate, and document potential compliance breaches or irregularities.
• Support the development and enhancement of the regulatory compliance monitoring plan.
• Provide compliance guidance to internal teams, including advisory and operational functions.
• Participate in compliance and advice risk committee engagements.
• Maintain compliance records, reports, and procedural documentation.
• Assist in preparing reports for leadership, governance forums, and regulatory reviews.

• Strong attention to detail
• Analytical and methodical approach
• Able to work independently and meet deadlines
• Strong communication skills
• Critical thinking and organizational capability

• Relevant degree in law, finance, or compliance (required)
• Proficiency in MS Office (required)
• Postgraduate compliance or risk qualification (advantageous)
• CISA CPrac or CProf designation (advantageous)
• Minimum 3 years’ compliance monitoring experience within a Category I and II financial services environment
• Knowledge of compliance frameworks, advice monitoring, and investment mandate oversight
• Understanding of discretionary investment processes, TAA monitoring, and CAT II requirements
• Knowledge of FAIS, FICA, Collective Investment Schemes Control Act, and broader compliance risk principles
• Experience managing audit findings

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