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Job Summary
Responsibilities
As part of the Compliance team, you will be responsible for reviewing the quality of financial advice provided to clients, ensuring that recommendations, documentation and investment decisions meet both legislative requirements and internal standards.
Your responsibilities will include reviewing client files, monitoring investment mandates, identifying potential compliance risks, investigating irregularities, preparing monitoring reports and assisting with the ongoing improvement of compliance processes. You will also work closely with Financial Planning Partners and other internal stakeholders to ensure advice remains compliant and client focused.
Requirements
- Relevant tertiary qualification in Finance, Law, Risk Management, Compliance or a related field.
- Approximately 1–3 years' experience in a compliance monitoring role within the financial services industry.
- Practical experience reviewing financial advice against the requirements of the FAIS Act.
- Good understanding of investment products, client mandates and advice documentation.
- Previous exposure to discretionary investment environments will be advantageous.
- RE5 would be beneficial but is not essential.
We are looking for someone who enjoys analytical work, has exceptional attention to detail and takes pride in producing accurate, high-quality work. You should be naturally inquisitive, comfortable investigating potential risks and confident working through complex information.
The ideal candidate will be someone who is looking to establish a long-term career within compliance, enjoys working in a hands-on environment and is eager to continuously develop their knowledge and expertise.
Candidates coming from compliance consulting, internal audit, or financial services businesses where compliance monitoring formed part of their daily responsibilities are encouraged to apply.
Why apply?
This is an excellent opportunity to join a company that invests in its employees. The successful candidate will have the opportunity to develop their compliance career within a supportive environment, with mentorship and the potential to work towards becoming a licensed Compliance Officer.
**Applications will only be considered from candidates who meet the minimum requirements outlined in the job specification. **
Merand Corbett & Associates
Recruiter
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