Vacancy Description
-
Permanent
SW
Admin / Secretarial
Finance
Western Cape , Somerset West
Somerset West - Financial Services Provider is seeking to employ a Compliance Checker/Reviewer.
The purpose of the role is to ensure that financial advice given by the firm's advisors complies with regulatory requirements, internal policies, and industry best practices, by conducting file reviews, monitoring advisor conduct, and supporting a strong compliance culture.
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 elevate compliance breaches, gaps, or risks
- Maintain accurate compliance registers, audit trails, and reporting logs
- Liaise with advisors to clarify doc...
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