Business Enablement: Monitoring Officer

Key Responsibilities Conduct ongoing monitoring of financial advice to ensure compliance with FAIS and internal policies. Review Category I and II advisory and discretionary investment activities. Validate client mandates and monitor investment mandate compliance. Review advice files and identify potential compliance risks or irregularities. Analyse monitoring outcomes and escalate findings where appropriate. Prepare monitoring reports and maintain compliance records. Provide guidance to Financial Planning Partners, Business Development Managers, Paraplanners, and Operations teams on advice quality and compliance requirements. Support audit processes and regulatory reviews. Participate in compliance and governance initiatives. Minimum Requirements Relevant tertiary qualification in Finance, Law, Risk, Compliance, or a related field. 13 years' compliance monitoring experience within the financial services industry. Practical hands-on experience monitoring advice in terms of the FAIS Act...