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Business Enablement: Monitoring Officer - Sandhurs
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General Details
Location:
Advertised By:Agency
Company Name:Executive Placements
Job Type:Full-Time
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, 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.
- 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.
https://www.executiveplacements.com/Jobs/B/Business-Enablement-Monitoring-Officer-Sandhurst-1239467-Job-Search-11-14-2025-04-21-34-AM.asp?sid=gumtree
Id Subtitle 1342383446
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Executive Placements
Selling for 10+ months
Total Ads4.78K
Active Ads4.78K
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