Business Enablement : Monitoring Officer - Sandhurst

Merand Corbett & Associates; Sandton; On-site; ZAR 300 000 - 400 000; Full time

Job summary

A financial services advisory firm in Sandton is seeking a Monitoring Officer to ensure compliance and uphold regulatory standards across advisory activities. The ideal candidate will have a degree in law or compliance, strong analytical and organizational skills, and over 3 years of compliance monitoring experience. This role offers the opportunity to drive ethical and sustainable business practices.

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 compliance with FAIS, internal policies, and client mandates.
• Review CAT II investments for mandate alignment and governance.
• Ensure adherence to investment strategies and TCF outcomes.
• Document potential compliance breaches and escalate issues.
• Support compliance plans and guide staff on advice quality.
• Participate in risk and compliance committees.

Skills

Analytical skills

Communication skills

Organizational skills

Attention to detail

Education

Degree in law or compliance

Postgraduate compliance/risk qualification or CISA/CPrac/CProf

Tools

MS Office

Job description

SUMMARY :

Our client is looking for a Monitoring Officer to ensure excellence and compliance in Category I and II advisory and investment activities.

In this key role, you will uphold regulatory standards, safeguard advice quality, and mitigate risk across advisory and discretionary investment functions, driving ethical, sustainable, and trusted business practices.

POSITION INFO : 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, **escalate** 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, , 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.

Only shortlisted candidates will be contacted