Compliance Due Diligence Associate Specialist (CFP)

About the role

BA Personnel is seeking a Compliance Due Diligence Associate Specialist (CFP) to assess the quality of financial advice provided by representatives, ensuring compliance with regulatory requirements, internal policies, Treating Customers Fairly (TCF) principles and industry best practices.

Key responsibilities

• Conduct quality of advice assessments to evaluate compliance with FAIS requirements, regulatory standards, and TCF principles.
• Assess the suitability, appropriateness, and completeness of financial advice and identify compliance risks, trends, control weaknesses, training needs, and required corrective actions.
• Prepare clear and timely assessment reports, providing findings, recommendations, and feedback to Compliance Officers, management, and relevant stakeholders.
• Monitor and follow up on the implementation of agreed corrective actions, escalating significant breaches and emerging risks where necessary.
• Build and maintain effective relationships with key individuals, representatives, juristic representatives, management, and other stakeholders to support a culture of compliance.
• Recommend improvements to advice processes, controls, procedures, and systems to enhance advice quality and regulatory compliance.
• Stay abreast of regulatory developments, FSCA guidance, industry trends, and legislative changes impacting advice and intermediary services.
• Contribute to compliance awareness and training initiatives aimed at improving advice quality and regulatory compliance.

Required profile

• Minimum 3 years of experience in a financial services compliance role.
• Relevant tertiary education.
• Recognised compliance qualification from an accredited institution.
• Certified Financial Planner (CFP) qualification is advantageous.
• Membership of CISA or FPI is advantageous.

Required skills

• Sound knowledge of South African FAIS legislation, financial products and the financial planning and advice process.
• Strong analytical and attention‑to‑detail skills to identify risks, gaps and trends.
• Highly process‑driven, delivering accurate and consistent reviews in line with established quality and compliance standards.
• Strong written and verbal communication skills, with the ability to articulate findings, provide constructive feedback, and produce professional reports.
• Ability to maintain concentration for extended periods and deliver quality results while meeting operational deadlines.