Job Description
About the Role
Our client, a financial services organisation, is seeking to appoint a Junior Compliance Monitoring Officer to join their team based in Sandhurst, Johannesburg. This is a junior role with loads of development potential for the right candidate! An awesome career opportunity awaits!
Key Responsibilities
- 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.
Requirements
- Relevant tertiary qualification/degree (essential)
- 1-3 years of compliance monitoring experience.
- Exposure to FAIS monitoring, mandate validation, variance reports, and advice oversight
- Exposure to:
- FAIS advice monitoring frameworks
- Mandate validation and oversight (Category II)
- Variance reporting and investment mandate thresholds
- Advice quality and suitability reviews
Qualifications
None mentioned.
Salary & Benefits
Not mentioned.
How to Apply
Click the green “Go Apply” button below to apply directly online with the employer.
About Other IT/Computer Jobs in Gauteng
The IT and computer industry is one of the most dynamic and growing sectors in Gauteng, with a thriving job market that offers a wide range of opportunities for career advancement.
In terms of salary ranges, IT professionals in Gauteng can expect to earn anywhere from R800 000 per annum for junior positions to over R2 million for senior executives. The average salary for software engineers is around R1.5 million, while data analysts can earn between R900 000 and R1.2 million. With experience and skills, IT professionals in Gauteng can expect significant salary increases, with some roles offering bonuses and benefits that can increase their overall remuneration.
To succeed in the IT industry in Gauteng, candidates need to possess a range of key skills, including programming languages such as Java, Python, and C++, as well as experience with databases, cloud computing, and cybersecurity. Strong problem-solving skills, attention to detail, and excellent communication skills are also essential for success in this field. Additionally, knowledge of ITIL (Information Technology Infrastructure Library) and Agile methodologies can be highly valued by employers.
Several major companies and industries in Gauteng are currently hiring IT professionals, including technology firms such as Microsoft, IBM, and Oracle, as well as banks and financial institutions like Standard Bank and Nedbank. The finance industry is also a significant employer of IT staff, with roles ranging from software development to data analytics and cybersecurity.
Career growth opportunities are abundant in the IT industry in Gauteng, with many companies investing heavily in employee training and development programs. With experience and skills, IT professionals can move into senior leadership positions or start their own businesses, while also pursuing further education and certifications. The Johannesburg Stock Exchange (JSE) is also a significant employer of IT staff, with roles ranging from software development to data analytics and cybersecurity.
Overall, the IT industry in Gauteng offers a wide range of exciting career opportunities for job seekers with the right skills and experience. With salaries that are competitive with those offered by major companies globally, there has never been a better time to pursue a career in this dynamic and rapidly evolving field.
This information provides general career guidance. Actual salaries and requirements vary by employer.
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