Johannesburg: Business Enablement: Monitoring Officer posted by Headhunters

Our client, a reputable financial services organisation, is seeking to appoint a highly skilled Business Enablement: Monitoring Officer to join their team. This position is based full-time at their Head Office in Sandhurst, Johannesburg. (Monday to Friday).

An excellent opportunity for an experienced compliance professional looking to advance their career in a dynamic, regulated environment.

Requirements:

• Relevant degree in Law, Finance, Compliance, or a related field (essential).

• Minimum 3 years experience in compliance monitoring within a Category I and II financial services provider environment.

• Strong knowledge of:

  • FAIS, FICA, CISCA and related legislation

  • Advice monitoring frameworks

  • Investment mandate oversight (CAT II)

  • Discretionary investment processes and TAA monitoring

  • Compliance risk management principles

• Proficiency in MS Office and strong computer literacy.

• Post-graduate qualification in compliance or risk management (advantageous).

• CISA CPrac or CProf designation (advantageous).

• Experience managing audit findings and compliance reviews.

Responsibilities (include but are not limited to):

1. Compliance Monitoring & Oversight

   • Conduct ongoing monitoring of Category I and II advisory and investment activities.

   • Review CAT II investment activities to ensure mandate alignment, thresholds, limits, and governance adherence.

   • Monitor compliance with agreed investment strategies, including variance reporting.

   • Ensure adherence to Treating Customers Fairly (TCF) outcomes.

2. Risk Identification & Reporting

   • Analyse advice monitoring results and escalate areas of concern.

   • Identify, investigate, and document potential breaches or irregularities.

   • Maintain accurate compliance records, reports, and procedural documentation.

   • Assist with preparing reports for Key Individuals, governance forums, and regulatory reviews.

3. Compliance Framework Support

   • Support the development and maintenance of a regulatory compliance monitoring plan.

   • Participate in compliance and advice risk committee meetings.

4. Guidance & Stakeholder Support

   • Provide compliance guidance to Financial Planning Partners, BDMs, Para-planners, and Operations Managers.

   • Engage collaboratively to promote advice quality and regulatory-compliant practices.

Competencies:

• Excellent written and verbal communication

• Analytical and critical thinking skills

• High attention to detail and accuracy

• Strong administrative ability

• Ability to work independently and meet deadlines

• Assertiveness and confidence in decision-making

Attributes:

• Professional, well-presented, and articulate

• Strong relationship-building ability

• Resourceful, proactive, and solution-driven

• Able to work under pressure and manage multiple tasks

• Willingness to learn, grow, and handle a wide range of tasks

Only shortlisted candidates will be contacted. If you do not receive a response within two weeks of applying, please consider your application unsuccessful.