Business Enablement : Monitoring Officer - Sandhurst

Merand Corbett & Associates; Gauteng; On-site; ZAR 600 000 - 800 000; Full time

Job summary

A financial services firm in Gauteng is seeking a Compliance Monitoring Specialist to ensure adherence to investment activities and client mandates. The ideal candidate will have a degree in law, finance, or compliance, along with 3+ years of compliance monitoring experience in financial services. Proficiency in MS Office and strong analytical skills are essential for this role, which also involves participation in risk and compliance committees.

Qualifications

• 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.

Responsibilities

• Monitor investment activities for compliance.
• Review investments for mandate alignment.
• Ensure adherence to investment strategies.

Skills

Analytical skills

Communication skills

Organizational skills

MS Office proficiency

Education

Degree in law, finance, or compliance

Postgraduate compliance/risk qualification or CISA/CPrac/CProf

Job description

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, elevate 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.