Johannesburg: Compliance Monitoring Officer posted by Headhunters

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!

Summary:

Our client is seeking a candidate with staying power. The company is willing to invest in the successful candidates growth, including placing them under supervision with the goal of helping them obtain their Compliance Officer license – a highly prestigious designation in the compliance community.

The role is 80-90% monitoring advice.

An LLB is not required. However, candidates must hold a valid qualification/degree. An RE5 certification is a nice to have.

FAIS monitoring is critical! Candidates must demonstrate a deep and practical understanding of the FAIS Act as it regulates advice. Knowledge of POPIA, FICA, etc. is less important for this role.

Our client will prioritize candidates with hands on FAIS monitoring experience (ideally 13 years), who are open to development, and who demonstrate cultural fit for a flat, agile environment. Candidates from compliance consulting or internal auditing backgrounds will be particularly strong.

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

• Experience within internal audit, compliance consulting, or advisory environments supporting financial services providers will be a strong advantage

• RE5 (advantageous but not essential)

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

• CISA, CPrac, or CProf designation (advantageous)

Responsibilities (include but are 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.

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