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Business Enablement: Monitoring Officer – SandhurstCatch • ZA
Business Enablement: Monitoring Officer – Sandhurst

Business Enablement: Monitoring Officer – Sandhurst

Catch • ZA
30+ days ago
Job description

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.
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Business Enablement: Monitoring Officer – Sandhurst • ZA

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