Compliance Advisor

Compliance Advisor

Direct message the job poster from Finsure

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 oversee and manage the execution of the Quality Assurance and Compliance framework which provides oversight to Finsure brokers- independent licensees and credit representatives. You will work closely with various departments and utilise your leadership skills to support and empower the Compliance Team.

General Compliance - Core Activities

• Investigations into matters regarding Brokers behavioural and professional conduct.
• Liaise with relevant stakeholders regarding conduct issues.
• Monitoring oversight of Finsure Mentors and Mentees.
• Act as subject matter expert for compliance advisors providing mentoring support and coaching.
• Provide compliance support to Finsure brokers.
• Completing reference checks for new brokers and separated brokers.
• Ad-hoc project work expected of the Compliance Advisor.
• Build effective relationships with Finsure members and staff, to provide added value and timely responses to the business.

Reporting & Documentation - Core Activities

• Maintenance of the Governance Registers
• Prepare reports regarding outcomes and recommendations from investigations
• Review and provide input to policies and standards
• Preparation of compliance reports as needed
• Reporting on any breaches observed or uncovered
• Assist in the continuous improvement of processes, controls, templates and documentation.

Audits & Meetings - Core Activities

• Provide reporting for compliance and risk meetings

Experience, Skills & Qualifications

• 2 + years working in a Compliance role/equivalent industry experience.
• Build rapport with internal and external stakeholders.
• High level written and oral communication skills Ability to collect, analyse and evaluate evidential information.
• Able to work effectively and efficiently towards goals in a complex/diverse environment with multiple and changing demands.
• Ability to work autonomously.
• Strong commitment to engaging in continual development and self-directed learning.
• Ability to interpret and apply relevant legislation into practice.
• Offsite travel required- interstate travel required.
• Previous experience in similar industry is highly desirable

Seniority level

• Seniority levelNot Applicable

Employment type

• Employment typeFull-time

Job function

• Job functionQuality Assurance
• IndustriesBanking and Financial Services

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