National Wealth Management & Investments Business, leader in their field with a great reputation and renowned for a great culture. Brisbane based role that will support stakeholders who are based Nationally.
As a market leader, the talent and passion of their people is critical to our success. Together we share a common set of values that underpin our advice and services, so as to act in the best interests of our clients.
This is an exciting opportunity to join their Corporate Compliance team as a Compliance Adviser and be responsible for ensuring that the branch and adviser network in their area comply with the AFSL, ACL and internal policies, procedures and guidelines. Tools utilised include individual audit of advisers / branches; monitoring of systems and utilisation of compliance software. You will play a critical role in our team by providing exceptional customer service to all external clients. Other key responsibilities include;
- Provide compliance and regulatory education and training to new advisers and branch managers
- Conduct customised audits from information provided by the Compliance Analysts
- Managing breach consequences with branch managers and advisers
- Responsible for the dissemination and training of compliance policies and procedures throughout identified area.
- Monitoring and supervision of adviser / branch compliance pursuant to the AFSL and ACL
- Risk analysis of branch, adviser and business activity
- Promote high standards of compliance with ASIC Market Integrity Rules, ASX and other relevant market rules and Corporations Act
- Knowledge of the workings of Australian financial markets
- Working knowledge of drivers for commercial, legal and regulatory environment – particularly ASIC, ASX and AUSTRAC
- Degree (or equivalent) in accounting / law / commerce / business plus a exposure to the securities industry
- Travel to audit regional branches is an integral part of the role (Note: due to the current COVID19 environment travel will be local only for the near future, electronic communication for interstate offices.)
- Ability to understand the practical application of requirements within the Australian financial sector
- Able to develop strong professional relationships
- Superior oral and written communication skills
- Experience in a compliance role in the securities or financial services industry.