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
How to apply:
- Follow the link to our job seekers ’ page – www.********.co.za
- Search for the job title.
- Click Apply to submit your CV.
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