Our Client, in the prominent brand in the Financial Services Industry, is seeking to employ a Regulatory Compliance Monitoring Officer to their team based in Sandhurst, Johannesburg.
Purpose of role: 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.
Requirements:
Grade 12 / Matric
Relevant degree (law, finance, or compliance) (required)
Minimum of 3 years’ compliance monitoring experien...
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