Our client, a well-established financial services provider based in Sandhurst, is seeking a Business Enablement: Monitoring Officer to join their Compliance team.

This is an excellent opportunity for a compliance professional who enjoys reviewing financial advice, identifying risk, and ensuring quality advice standards. The successful candidate will join an organisation that invests in employee development and offers the opportunity to work towards becoming a licensed Compliance Officer under supervision.

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.
1–3 years' compliance monitoring experience within the financial services industry.
Practical hands-on experience monitoring advice in terms of the FAIS Act.
Strong understanding of Category I & II financial services environments.
Knowledge of investment mandates, advice oversight, and variance monitoring.
Strong analytical skills with excellent attention to detail.
Excellent written and verbal communication skills.
Proficient in Microsoft Office.

Advantageous

Exposure to compliance consulting or internal audit within financial services.
RE5 qualification.
Postgraduate qualification in Compliance or Risk Management.
CISA CPrac or CProf designation.

The Ideal Candidate

We are looking for someone who:

Has practical FAIS monitoring experience rather than purely regulatory or policy exposure.
Enjoys detailed monitoring and investigative work.
Is eager to develop within compliance and build a long-term career.
Thrives in a collaborative, hands-on environment.
Is adaptable, proactive, and willing to learn.