Business Enablement: Monitoring Officer

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:

Location: Sandton, ZA

Posted Date: 11/14/2025