FAIS Supervisor – Financial Advisor

Purpose of the Role: The FAIS Supervisor plays a key role in supporting their Team Leader and Key Individual (“KI”) by ensuring that all financial advisors adhere to the requirements as provided for in the Financial Advisory and Intermediary Services Act (“FAIS”). The role reports directly to the Head of Legal and Compliance, though the FAIS Supervisor who will be trained and managed by the Team Leader and KI, gaining valuable experience and mentorship with a view to ultimately transition into a future KI role. The FAIS Supervisor will act as the primary line of defence in conjunction with the Legal and Compliance Team in identifying and addressing any compliance issues within sales practices, ensuring that the KI’s strategic oversight is well-supported with accurate and consistent monitoring. This role ensures that sales practices across the financial advisor distribution channels meet legal standards, thereby protecting the company from legal risks and ensuring that all financial adv...