Compliance Advisor

7 days ago


Brisbane, Queensland, Australia Compliance and Risk Management Recruitment Full time
Banking & Finance

  • Financial Planning
  • Brisbane
  • Permanent / Full Time

20th March, 2023:


Boutique Wealth Management Consultancy Firm has been growing rapidly over the past 24 months and they are looking to expand the team.


  • Uplifting organisations compliance framework and management procedure, instilling a culture of continuous improvement.
  • Accountability for regulatory compliance matters including measurements, monitoring, assessments, and control.
  • Setting up / obtaining licenses for clients.
  • Implementation of the compliance framework.
  • Conducting compliance audits.
  • Conducting training sessions with advisers.
  • Reporting directly into the MD.

Qualifications
- experience within Compliance gained partially or wholly within Wealth Management (Financial Planning).

  • Strong communication skills, able to work with the business and whilst maintaining essential independence.
  • Business partnering skills with the ability to work closely with the Regulators (ASIC) whilst managing the company's interests and agenda.
  • Analytical mind and excellent problemsolving skills, able to interpret complex regulatory policy and establish solutions for its implementation and fast adoption.
  • Excellent academic background.
For a confidential discussion, please call Andrew Douglas on
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