Our client, a financial services organisation, is seeking to appoint a Junior Business Enablement: Monitoring Officer to join their team based in Sandhurst, Johannesburg.

Requirements:

• Relevant tertiary qualification/degree (essential)

• 1–3 years’ experience in compliance monitoring within a financial services environment (Category I and/or II)

• Strong, practical working knowledge of FAIS as it relates specifically to advice monitoring (essential)

• Exposure to:

  • FAIS advice monitoring frameworks

  • Mandate validation and oversight (Category II)

  • Variance reporting and investment mandate thresholds

  • Advice quality and suitability reviews

• Experience within internal audit, compliance consulting, or advisory environments supporting financial services providers will be a strong advantage

• RE5 (advantageous but not essential)

• Post-graduate qualification in compliance or risk management (advantageous)

• CISA, CPrac, or CProf designation (advantageous)

Responsibilities (include but are not limited to):

• Conduct ongoing monitoring of advice and discretionary investment services to assess compliance with FAIS, internal policies, and client mandates.

• Review CAT II investment activities to confirm mandate alignment, investment limits, and appropriate governance.

• Monitor compliance with agreed investment strategies (including mandate thresholds and variance reports).

• Ensure advice and investment practices reflect Treating Customers Fairly (TCF) outcomes.

• Analyse advice monitoring results and escalate areas of concern.

• Identify, investigate, and document potential compliance breaches or irregularities.

• Support the development and maintenance of a regulatory compliance monitoring plan aligned to group frameworks.

• Provide guidance to Financial Planning Partners, Business Development Managers, Para-planners, and Operations Managers on compliance and advice quality requirements.

• Participate in relevant compliance and advice risk committees.

• Maintain compliance records, reports, and procedural documents.

• Assist in preparing reports for Key Individuals, governance forums, and regulatory reviews.

Only shortlisted candidates will be contacted. If you do not receive a response within two weeks of applying, please consider your application unsuccessful.