Compliance Checker/Reviewer (Financial Advisory) at Helderberg Personnel
Helderberg Personnel · Somerset West, Western Cape
Overview
A financial services provider in Somerset West is looking for a Compliance Checker/Reviewer to join their team. You will review financial advice files, monitor advisor conduct, and help maintain a strong compliance culture. This is a great fit for someone with 3 years of compliance experience in financial services who wants to make a real impact by ensuring regulatory standards are met.
About the role
Helderberg Personnel is hiring a Compliance Checker/Reviewer for a financial services provider based in Somerset West. In this role, you will be responsible for ensuring that financial advice given by the firm's advisors complies with regulatory requirements, internal policies, and industry best practices.
You will conduct compliance checks and quality reviews on financial advice files, monitor adherence to regulations such as FAIS and POPIA, and identify and escalate any compliance breaches or risks. You will also maintain compliance registers, liaise with advisors to resolve discrepancies, and assist with preparing for audits and regulatory inspections.
The successful candidate will play a key part in supporting a strong compliance culture by keeping up to date with legislative changes, supporting training initiatives, and drafting or updating compliance policies and procedures.
Requirements
- Relevant qualification in Compliance, Law, Finance, or a related field
- 3 years of experience in a compliance role within financial services or 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 and compliance management systems
- Preferred: RE5 (or equivalent regulatory exam) certification
- Preferred: Experience with FAIS regulated environments
- Preferred: Prior experience working closely with financial advisors or IFAs
Responsibilities
- Conduct compliance checks and quality reviews on financial advice files, focusing on suitability, disclosure, and record keeping
- Monitor adherence to relevant regulations such as FAIS and POPIA
- 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 and 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
Job details
- Organisation
- Helderberg Personnel
- Location
- Somerset West, Western Cape
- Job type
- Full time
- Experience level
- Mid (3+ years)
- Education
- Diploma
- Category
- Accounting & Finance
- Application Method
- Apply online
Success Guide
When applying for this compliance role, make sure your CV clearly shows your experience with FAIS and POPIA, and highlight any file review or audit work you have done. If you have an RE5 certification, put it near the top. In an interview, be ready to talk about how you identify compliance risks and how you communicate with advisors when you find discrepancies. The employer values attention to detail and independence, so give examples of how you have managed multiple reviews or worked without close supervision. Also, show that you keep up with regulatory changes. A calm, methodical approach will serve you well here.
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