Job Description

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):
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.
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.
Compliance Framework Support
Support the development and maintenance of a regulatory compliance monitoring plan.
Participate in compliance and advice risk committee meetings.
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.

Skills Required