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

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:

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.