Job Description

Job Summary Key Responsibilities

• Monitor Category I and II advisory and discretionary investment activities for compliance with FAIS, internal policies, and client mandates.
• Review CAT II investments for mandate alignment, limits, and governance.
• Ensure adherence to agreed investment strategies and TCF outcomes.
• Analyse monitoring results, escalate issues, and document potential compliance breaches.
• Support regulatory compliance plans and provide guidance to staff on compliance and advice quality.
• Participate in risk and compliance committees; maintain records and assist with reporting.

Minimum Requirements

• Degree in law, finance, or compliance (required).
• Proficient in MS Office; computer literate.
• Postgraduate compliance/risk qualification or CISA/CPrac/CProf (advantageous).
• 3+ years' compliance monitoring experience in Category I/II financial services.
• Knowledge of advice monitoring, discretionary investment processes, CAT II management, FAIS, FICA, and CISCA.
• Strong analytical, communication, and organizational skills; attention to detail.
• Ability to work independently, meet deadlines, multi-task, and adapt under pressure.

Only shortlisted candidates will be contacted
Merand Corbett & Associates
Recruiter

Skills Required