Salary: Market Related Job Type: Permanent Sectors: Admin Finance Reference: SW006424/AM Job Type: Permanent Sectors: Admin Finance Reference: SW006424/AM Sectors: Admin Finance Reference: SW006424/AM Reference: SW006424/AM
Vacancy DetailsEmployer: Helderberg Personnel cc
Somerset West - Financial Services Provider is seeing to employ a Compliance Checker/Reviewer. The purpose of the role is to ensure that financial advice given by the firm's advisors complies with regulatory requirements, internal policies, and industry best practices, by conducting file reviews, monitoring advisor conduct, and supporting a strong compliance culture.
Key ResponsibilitiesConduct compliance checks and quality reviews on financial advice files (suitability, disclosure, record-keeping)Monitor adherence to relevant regulations (e.g., FAIS, POPIA, or applicable local financial services legislation)Identify and escalate compliance breaches, gaps, or risksMaintain accurate compliance registers, audit trails, and reporting logsLiaise with advisors to clarify documentation and resolve discrepanciesAssist in preparing for internal and external audits/regulatory inspectionsKeep up to date with changes in financial services legislation and communicate updates to relevant teamsSupport training and awareness initiatives on compliance requirementsDraft and update compliance policies, checklists, and proceduresRequirements Relevant qualification in Compliance, Law, Finance, or related field3 years experience in a compliance role within financial services / wealth managementStrong understanding of relevant regulatory frameworksExcellent attention to detail and analytical skillsStrong written and verbal communication skillsAbility to work independently and manage multiple file reviewsProficiency in MS Office / compliance management systemsPreferred RE5 (or equivalent regulatory exam) certificationExperience with FAIS-regulated environmentsPrior experience working closely with financial advisors or IFAs
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