Regulatory Compliance Monitoring Officer

Recruiter:

Headhunters

Job Ref:

PE003631/RB

Date posted:

Thursday, July 9, 2026

Location:

Johannesburg, South Africa

Salary:

Monthly

SUMMARY:
Our Client, in the a prominent brand in the Financial Services Industry, is seeking to employ a Regulatory Compliance 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.

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