Finance/Accounting - Finance/Accounting Management Gauteng FULL TIME Job Summary Requirements: * Grade 12 / Matric * Relevant degree (law, finance, or compliance) (required) * Minimum of 3 years’ compliance monitoring experience in a risk or compliance role in a category I and  II financial services provider environment. * 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 of advice monitoring, compliance frameworks, and investment mandate oversight. * Knowledge of discretionary investment processes and TAA monitoring. * Knowledge of CAT II investment management, including 80/20 variance monitoring and mandate  validation. * Knowledge of the requirements, implementation, application and monitoring of FAIS, FICA and  Collective Investment Schemes Control Act. * Knowledge and understanding of legal principles and ability to interpret legislation. * Knowledge and understanding of compliance risk management principles. * Experience with managing audit findings. Responsibilities, but not limited to: * 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. Please note that should you not receive a response within 2 weeks of applying, you may consider your application unsuccessful. Headhunters Recruiter