Compliance Monitoring Officer

Recruiter

Fouche & Co Recruitment

Job Ref

DBN000680/JB

Date posted

Tuesday, July 7, 2026

Location

Johannesburg, South Africa

Salary

27 000 Monthly

SUMMARY

Sandhurst - Are you a detail-driven compliance professional looking to fast-track your career and work toward your Compliance Officer license? This hands-on Business Enablement Monitoring Officer role offers the unique opportunity to gain invaluable, structured supervision and growth within an agile financial services environment.

POSITION INFO

Our client is a prominent financial services and wealth management provider specialising in investment and advisory solutions. They operate within a flat, collaborative structure that values practical capability, agility, and continuous learning over rigid corporate titles. The Compliance Monitoring Officer will focus predominantly (80-90%) on advice and investment monitoring for Category I and II financial services. Based full-time at the Head Office in Sandhurst, Johannesburg, this role is highly operational and detail-driven, focusing heavily on FAIS compliance, mandate validation, and advice oversight rather than broad regulatory policy creation. Key responsibilities Conduct ongoing monitoring of advice and discretionary investment services to ensure compliance with the FAIS Act, internal policies, and client mandates. Review Category II investment activities to confirm mandate alignment, investment limits, and variance reports. Identify, investigate, and accurately document potential compliance breaches or irregularities. Monitor compliance with agreed investment strategies, ensuring practices consistently reflect Treating Customers Fairly (TCF) outcomes. Maintain comprehensive compliance records, registers, and procedural documents. Assist in preparing detailed monitoring reports for Key Individuals, governance forums, and regulatory reviews. Provide clear, practical compliance guidance to Financial Planning Partners, Para-planners, and operational teams. Requirements Matric (Non-negotiable) A valid, relevant tertiary degree (Law, Finance, or Compliance). 2 to 3 years of practical compliance monitoring experience, ideally within a Category I and II Financial Services Provider (FSP) environment. Proven experience with practical FAIS monitoring, mandate validation, and advice oversight (essential). Backgrounds in compliance consulting firms or internal auditing environments will be highly advantageous. Proficient in MS Office with strong administrative capability. RE5 qualification is advantageous but not mandatory. Attributes Highly detail-oriented, methodical, and organized. Hands-on, practical approach with a strong willingness to learn and accept developmental guidance. Excellent verbal and written communication skills, with the ability to explain compliance concepts simply and clearly. Assertive yet collaborative, with the ability to build strong working relationships across a flat business structure. Resilient and comfortable managing repetitive, detail-heavy processes without losing focus. Remuneration R27 000 - R30 000 per month, market-related and dependent on experience. Please note that only Shortlisted candidates will be contacted