Business Enablement: Monitoring Officer

SUMMARY:
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.

POSITION INFO:
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. ...