Compliance Monitoring Officer

Our client is a prominent financial services and wealth management provider specialising in investment and advisory solutions. They operate within a flat, collaborative structure that values practical capability, agility, and continuous learning over rigid corporate titles. The Compliance Monitoring Officer will focus predominantly (80-90%) on advice and investment monitoring for Category I and II financial services. Based full-time at the Head Office in Sandhurst, Johannesburg, this role is highly operational and detail-driven, focusing heavily on FAIS compliance, mandate validation, and advice oversight rather than broad regulatory policy creation. Key responsibilities Conduct ongoing monitoring of advice and discretionary investment services to ensure compliance with the FAIS Act, internal policies, and client mandates. Review Category II investment activities to confirm mandate alignment, investment limits, and variance reports. Identify, investigate, and accurately document potent...