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Business Enablement: Monitoring Officer - Sandhurs

17 days ago60 views
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General Details
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.
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.
Only shortlisted candidates will be contacted

Id Subtitle 1342383446
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Executive Placements
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