Compliance Checker/Reviewer (Financial Advisory)
Employer via Adzuna
Somerset West Posted 22 sept Closes 22 Oct
Type
Full-time
Pay
Not disclosed
Work setup
On site
Category
Finance & Accounting
About the job
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/…
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Read the full advert and apply on Adzuna