Compliance Specialist

Compliance Specialist

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Finsure is owned by MA Financial Group Limited and is one of Australia's fastest growing aggregation businesses. Finsure has built a strong brand presence in the marketplace and has received multiple industry awards for its achievements across marketing, lead generation and total settlement volumes.

At the very core of our business ethos is the desire to provide the strongest value proposition to all our partners and clients. It is this principle that underpins who we are as an organisation, and why we are able to provide the maximum value to those who align with us. We are firmly committed to being the best place to work, for the best people in our industry. That's where you fit in.

Working as an integral part of the Compliance & Risk team (available in Melbourne and Sydney), your primary responsibility is to build up Risk & Compliance best practice to support the business in the achievement of business objectives whilst adhering to the company values.

General Compliance - Core Activities

• Monitoring, actioning and recording of complaints and within timeframes.
• Investigations into matters regarding Brokers behavioural and professional conduct.
• Liaise with relevant stakeholders regarding conduct issues.
• Completion of Industry Reference Checking protocol.
• Managing the inflow of workflow via the Compliance inbox.
• Ad-hoc project work expected from the Compliance Advisor.

Reporting & Documentation - Core Activities

• Maintenance of the Governance Registers.
• Drafting of written correspondence with complaints.
• Prepare reports regarding outcomes and recommendations from investigations.
• Completion of breach reporting.
• Review and provide input to policies and standards.
• Preparation of compliance reports as needed.

Audits & Meetings - Core Activities

• Assist with the guidance to Compliance Audit team
• Prepare agendas and take minutes for monthly compliance committee meeting.
• Occasional offsite meetings – ACL Framework

Experience, Skills & Qualifications

• 2 + years working in a Compliance role / equivalent industry experience
• High level written and oral communication skills
• Ability to prepare complex reports and recommendations.
• Ability to collect, analyse and evaluate evidential information.
• Ability to interpret and apply relevant legislation into practice
• High level of organisational skills
• Interstate travel as required
• Ability to work unsupervised and communicate across diverse clientele
• Tertiary qualifications in a relevant discipline or equivalent industry experience in similar industry is highly desirable
• Experience in fraud and investigation experience
• Experience in presenting

Seniority level

• Seniority levelNot Applicable

Employment type

• Employment typeFull-time

Job function

• Job functionQuality Assurance
• IndustriesBanking and Financial Services

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