Business Enablement: Monitoring Officer – Sandhurst Job at Catch

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.