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South Africa: Business Enablement: Monitoring Officer posted by Greys Recruitment

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Job Description

Key Responsibilities

  • Conduct monitoring of advice and discretionary investment services to ensure compliance with regulatory requirements, internal policies, and client mandates
  • Review investment activities to confirm mandate alignment, investment limits, and governance standards
  • Ensure adherence to agreed investment strategies and thresholds
  • Promote Treating Customers Fairly (TCF) outcomes in all advice and investment practices
  • Analyze monitoring results, escalate concerns, and investigate potential compliance breaches
  • Support the development of a regulatory compliance monitoring plan
  • Provide guidance to Financial Planning Partners, BDMs, Para-planners, and Operations Managers on compliance and advice quality
  • Maintain compliance records, reports, and procedural documents
  • Assist in preparing reports for governance forums and regulatory reviews

Qualifications & Experience

  • Relevant degree in Law, Finance, or Compliance (required)
  • Minimum 3 years’ experience in compliance monitoring within a financial services environment
  • Knowledge of advice monitoring, compliance frameworks, and investment mandate oversight
  • Understanding of discretionary investment processes, TAA monitoring, and CAT II investment management
  • Proficiency in MS Office (required)
  • Postgraduate compliance or risk qualification (advantageous)
  • CISA CPrac or CProf designation (advantageous)

Competencies & Attributes

  • Strong verbal and written communication skills
  • Analytical, detail-oriented, and organized
  • Critical thinking, assertiveness, and ability to work independently
  • Ability to multi-task and work under pressure
  • Relationship-building, initiative-taking, and continuously learning
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How to apply:

  1. Follow the link to our job seekers ’ page – www.********.co.za
  2. Search for the job title.
  3. Click Apply to submit your CV.



GO APPLY NOW

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