Fais Supervisor MMH261002-2

Role Purpose

The FAIS Supervisor is responsible for conducting advice assessments of Healthcare Consultants to ensure compliance with FAIS requirements and regulatory standards. The role supports the business by reducing operational & advice risks while promoting a culture of compliance and continuous improvement through specialised sales skills coaching.

Requirements

• Matric
• FSCA Approved Qualification
• RE 5
• RE1 Advantageous
• Knowledge of Callbi system advantageous
• 5-7 experience in financial services sales.
• 1-2 years' experience in sales engagement/onboarding.
• Experience in regulatory compliance monitoring and governance reporting and advantage.
• Medical Aid

Duties and Responsibilities

• Conduct advice assessments on Healthcare Consultants and Financial Advisors to ensure compliance with FAIS requirements, regulatory standards, and internal policies.
• Provide developmental feedback to Leadership and escalate non-adherence concerns where necessary.
• Conduct post-training floor coaching and formal assessments to evaluate competency, knowledge application, and readiness.
• Ensure appropriate supervision and documented supervision processes are in place.
• Track supervision assessments and ensure completion within required timelines.
• Maintain audit-ready compliance files for all sales consultants and ensure governance processes are consistently applied.
• Identify, investigate, and escalate compliance and operational risks.
• Conduct error trend analysis and root cause investigations to identify recurring issues and recommend corrective actions.
• Support implementation of corrective and preventative actions to reduce compliance risks.
• Produce governance and compliance dashboards, analyse compliance metrics, and provide recommendations to improve effectiveness.
• Support internal and external audit requirements and promote a culture of compliance and continuous improvement.

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