Business Enablement: Monitoring Officer

About the position

Role Purpose:

The Monitoring Officer will be responsible for ongoing monitoring of Category I and II advisory and investment activities within the business. This includes ensuring adherence to regulatory requirements, advice quality standards, and internal risk frameworks. The role will play a critical part in identifying and mitigating compliance risk across both advice and discretionary investment functions, contributing to sustainable, ethical, and regulatory-compliant business practices.

Role Responsibilities: Main areas of responsibility will include:

Conduct ongoing monitoring of advice and discretionary investment services to assess compliance with FAIS, internal policies, and client mandates.
Review CAT II investment activities to confirm mandate alignment, investment limits, and appropriate governance.
Monitor compliance with agreed investment strategies (including mandate thresholds and variance reports).
Ensure advice and investment practices reflect Treating Customers Fairly (TCF) outcomes.
Analyse advice monitoring results and escalate areas of concern.
Identify, investigate, and document potential compliance breaches or irregularities.
Support the development and maintenance of a regulatory compliance monitoring plan aligned to group frameworks.
Provide guidance to Financial Planning Partners, Business Development Managers, Para-planners, and Operations Managers on compliance and advice quality requirements.
Participate in relevant compliance and advice risk committees.
Maintain compliance records, reports, and procedural documents.
Assist in preparing reports for Key Individuals, governance forums, and regulatory reviews.
This is not an exhaustive list of responsibilities

Qualifications
Relevant degree (law, finance, or compliance) (required)
Computer literate and must be proficient in MS Office (required)
Post graduate compliance or risk management qualification (advantageous)
CISA CPrac or CProf Designation (advantageous)

Knowledge and Experience
Minimum of 3 years' compliance monitoring experience in a risk or compliance role in a category I and II financial services provider environment.
Knowledge of advice monitoring, compliance frameworks, and investment mandate oversight.

Desired Skills:

• law or finance degree
• MS Office
• CISA
• financial services experience
• Advice monitoring
• compliance frameworks
• investment mandate oversight

Desired Qualification Level:

• Degree