Compliance Checker/reviewer (financial Advisory)

Key Responsibilities

• Conduct 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 risks
• Maintain accurate compliance registers, audit trails, and reporting logs
• Liaise with advisors to clarify documentation and resolve discrepancies
• Assist in preparing for internal and external audits/regulatory inspections
• Keep up to date with changes in financial services legislation and communicate updates to relevant teams
• Support training and awareness initiatives on compliance requirements
• Draft and update compliance policies, checklists, and procedures

Requirements

• Relevant qualification in Compliance, Law, Finance, or related field
• 3 years experience in a compliance role within financial services / wealth management
• Strong understanding of relevant regulatory frameworks
• Excellent attention to detail and analytical skills
• Strong written and verbal communication skills
• Ability to work independently and manage multiple file reviews
• Proficiency in MS Office / compliance management systems

Preferred

• RE5 (or equivalent regulatory exam) certification
• Experience with FAIS-regulated environments
• Prior experience working closely with financial advisors or IFAs