Compliance Checker/Reviewer (Financial Advisory)

Key Responsibilities Conduct compliance checks and quality reviews on financial advice files (suitability, disclosure, record-keeping) Monitor adherence to relevant regulations (e.g., FAIS, POPIA, or applicable local financial services legislation) Identify and escalate compliance breaches, gaps, or risks Maintain accurate compliance registers, audit trails, and reporting logs Liaise with advisors to clarify documentation and resolve discrepancies Assist in preparing for internal and external audits/regulatory inspections Keep up to date with changes in financial services legislation and communicate updates to relevant teams Support training and awareness initiatives on compliance requirements Draft and update compliance policies, checklists, and procedures Requirements Relevant qualification in Compliance, Law, Finance, or related field 3 years experience in a compliance role within financial services / wealth management Strong understanding of relevant regulatory frameworks Excellent...