Investment Compliance & Monitoring Specialist

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

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.