SUMMARY:
Our client is an established, independent Financial Services Provider with a strong focus on structured operational and compliance processes. The business is advisor-led and supported by an outsourced Compliance Officer.
POSITION INFO:
Our client is seeking a process-driven Operations & Compliance Administrator to provide support to advisors and paraplanners. The successful candidate will ensure business cases are accurate, compliance documentation is maintained, and day-to-day operational processes run efficiently. This role works alongside the outsourced Compliance Officer and the Directors and does not act as a Compliance Officer.
Key Responsibilities
Compliance & Business Case Administration
- Review advisor business cases for completeness, including FICA, FAIS documentation, and forms
- Maintain accurate records, documentation, and business case registers
- Liaise with the outsourced Compliance Officer, including quarterly meetings and follow-ups
- Assist with the annual review and updates of compliance policies and procedures
- Support the Compliance Officer with onboarding new representatives
Operations Support- Provide operational assistance to advisors and paraplanners
- Liaise with product providers when required
- Set up and maintain terms of business
- Maintain internal process controls and workflow administration
- Run monthly commission processes
- Support basic finance transactions and reconciliations as needed
RequirementsEssential- 2–5 years’ experience in operations, paraplanning, administration, or compliance support within financial services
- Good knowledge of FICA and FAIS documentation requirements
- Strong administrative, organisational, and process-driven skills
- High attention to detail and ability to meet monthly deadlines
- Proficiency in Excel
- Professional, dependable, and proactive attitude
Advantageous- Experience with Commspace
- Prior exposure to an FSP environment
- RE5 qualification
- BCom degree or similar
