Compliance Manager

3 months ago

Sydney, Australia Stockspot Full time

Compliance Manager

About us:
At Stockspot, we are on a mission to help people invest in a way that is easy, safe & consistent so that they feel confident to achieve their financial dreams. We do this by providing low cost automated financial advice through a digital product that is continuously rated by our clients as easy and simple to use.

Stockspot currently manages over $750 million dollars on behalf of our 13,000+ clients. We are able to successfully manage this with a small team, given technology does a lot of the heavy lifting. This role provides an exciting opportunity to join our team to continue to drive the growth of our business.

Role purpose:

- Maintain Stockspot's compliance framework aligned to our core values and executed in accordance with all regulatory requirements.
- Be part of the team that enables Stockspot to achieve our vision of being the number one most trusted way to invest and achieve our mission of helping everyday people live more fulfilled lives.

Key responsibilities for this role are:

- Update policies, processes and procedures to ensure that Stockspot is at all times meeting or exceeding its regulatory obligations.
- Create and deliver quarterly reporting, attestations, compliance and monitoring requirements for Stockspot and our responsibilities internally and externally.
- Engage and liaise as the key contact with a legal consultant/team - always ahead of the curve on new ideas and regulatory trends in relation to the wealth management industry.
- Training for staff around guidance on advice (general and investments), maintaining ongoing RG146 training and good practice guidance on promoting Stockspot's products and services.
- Participate in relevant regulatory consultations by preparing and reviewing submissions on proposed regulatory change in conjunction with Stockspot's CEO.
- Develop and maintain relationships with the business, regulators, industry bodies, external auditors and all relevant internal and external stakeholders.
- Work with our team and third parties to ensure offer documents and regulatory guides, such as PDSs, FSG, DDO and TMD continue to comply with the law.
- Assist in carrying out Stockspot's ongoing license obligations.
- Assist with regulatory audit programs as well as any compliance validation and certification processes (including compliance plans and audits).
- Manage breaches and incidents and recommend potential controls.
- Review a variety of content to ensure we are meeting our compliance obligations.

About you:

- Proactive and self driven
- An excellent communicator, who is highly collaborative and enjoys building relationships
- Entrepreneurial with strong problem-solving skills with a strategic mindset
- Stay up to date with relevant laws, regulations and industry standards
- Analytical and data interpretation skills
- Understanding of the financial services industry and the regulatory environment

Your experience:

- Experience in Robo advice
- Deep expertise in compliance and/or risk management in financial services
- Demonstrated experience in project management with the capacity to manage competing priorities, maintain attention to detail and to meet deadlines
- Degree qualified

What's it like working at Stockspot?

Awesome We have a supportive, friendly, and close-knit team, we expect honesty, consistency, simplicity and to be a consumer champion in every interaction with each other, our clients and our partners.

Our team works in a hybrid environment, which means Monday, Wednesday & Fridays, we come together in person to our centrally located CBD co-working office which allows in person collaboration, training, lots of opportunities to share food and regular team social events. Tuesday and Thursdays we work from home. Stockspot has many other staff benefits we would love to tell you about

Job ID oboOkLuPNE0T

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