Business Enablement : Monitoring Officer

Greys Personnel; Sandton; On-site; ZAR 500 000 - 700 000; Full time

Job summary

A leading recruitment agency is seeking a Compliance Monitoring Specialist in Sandton, Gauteng. The role focuses on ensuring compliance with regulatory requirements and internal policies. Candidates should hold a relevant degree, have at least 3 years of experience in the financial services environment, and possess strong communication and analytical skills. Proficiency in MS Office is required and postgraduate qualifications are advantageous.

Qualifications

• Minimum 3 years experience in compliance monitoring within a financial services environment.
• Knowledge of advice monitoring and compliance frameworks.
• Understanding of discretionary investment processes.

Responsibilities

• Conduct monitoring of advice and discretionary investment services.
• Review investment activities for mandate alignment.
• Promote Treating Customers Fairly outcomes.

Skills

Analytical skills

Communication skills

Detail-oriented

Critical thinking

Relationship-building

MS Office proficiency

Education

Relevant degree in Law, Finance, or Compliance

Postgraduate compliance or risk qualification

CISA CPrac or CProf designation

Job description

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, elevate 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 :