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  • Posted: Jan 5, 2026
    Deadline: Not specified
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  • At Catch Recruit, our mission is simple: to connect exceptional talent with the right opportunities, ensuring a perfect blend of professional skills and cultural fit. As a dynamic and growing business, we are dedicated to delivering genuine value to our clients and candidates alike. We achieve this by matching candidates with organisations that align wit...
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    Business Enablement: Monitoring Officer - Sandhurst

    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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    Method of Application

    Interested and qualified? Go to Catch on catchrecruitcoza.simplify.hr to apply

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