Compliance Checker/Reviewer (Financial Advisory)

Somerset West - Financial Services Provider is seeing 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 escalate compliance breaches, gaps, or risks


• Maintain accurate compliance registers, audit trails, and reporting logs


• Liaise with advisors to clarify documentation and resolve discrepancies


• Assist in preparing for internal and external...