Compliance Manager - Financial Advice

Job Title: Compliance Manager - Financial Advice
Contract Type: Permanent
Location: Sydney CBD, New South Wales
Salary: Negotiable
Reference: 195724_1561510526
Contact Name: Anson Lam
Contact Email:
Job Published: June 26, 2019 10:55

Job Description

The Company:

Our client is a Financial Services company seeking an experienced Financial Advice Compliance Manager. They are experiencing exponential growth and have an opportunity for a compliance manager that can think outside the box and develop creative approaches to shape the advisory compliance function.

This is the ideal role for an experienced compliance manager with Financial Advice knowledge to work within the Enterprise Risk Management space and implement the compliance plans within the Advice business.

The Role:

  • End to end BAU compliance tasks in implementing the compliance plan within the advice business.
  • Review and embed company compliance framework with the focus on continuous improvement
  • Ensure compliance with license obligations
  • Conduct policy review/changes, breaches, incidents and propose any changes with the mindset of continuous improvement
  • Promote sustainable compliance culture throughout the bank
  • Analyse complaints and incidents to work on reducing these reports and address these issues
  • Provide compliance and regulatory advice within the financial advice space
  • Work across a variety of teams ensuring group understanding and updates on compliance changes.

You must have:

  • 3 + years experience in Financial Advice Experience
  • Strong understanding on Australian Financial planning industry
  • Degree qualified
  • Financial Advice/Legal/Compliance Background
  • Exceptional communication, written and verbal skills.
  • Proven experience working with regulators (ASIC, APRA, etc.)

For a confidential discussion please call Anson Lam on 02 8247 5712, email or click on the apply button below.

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