Compliance Manager, Perpetual Wealth Management

7 months ago

Sydney, Australia Perpetual Limited Full time

The wealth management business consists of three distinct brands in addition to Perpetual Private - Fordham, Jacaranda financial planning and Priority Life - offering a unique mix of wealth management, advice and trustee services. With a diverse range of capabilities including strategic advice on superannuation and retirement planning, general investment, asset protection, insurance, tax management, estate planning, aged care, social security, succession planning and philanthropy. Our clients include individuals, families, businesses, not-for-profit organisations and Indigenous communities throughout Australia.

Our Legal, Audit, Risk CoSec Compliance & Sustainability (LARCCS) Division is seeking a Compliance Manager to join the team. The role will be focused on working alongside senior stakeholders to drive good risk culture and good risk outcomes across the Perpetual Wealth Management division and Perpetual Group more generally.

Sounds interesting? Here are some specifics about the opportunity:
Work with LARCCS Compliance team members, other LARCCS colleagues and the business teams to implement all aspects of the Compliance Risk Management Framework including:

- Compliance policies
- Compliance plans
- Compliance training including training of advisors eg best interest duty, FASEA code
- Compliance monitoring
- Licence management including maintenance of AFSLs, ACLs, RSE; RMs and RPs, authorisation of advisers - financial adviser register
- Business owners of MCO (personal compliance) system; manage MCO including staff queries - personal trading, gifts
- Assess new business to ensure required licensing is in place
- Mergers and acquisitions - compliance advisory services

As part of the LARCCS Compliance team, contribute to a culture of knowledge sharing and collaboration across broader LARCCS teams.

Assist in developing and delivering the LARCCS Compliance team strategy.

Positively contribute to all aspects of the LARCCS Compliance team discussions, debate and decision making.

To be considered for this opportunity, your qualifications, skills and experience could include:

- Diploma in Financial Planning (DFP); ADFP (Advanced Diploma) - preferable
- FASEA Ethics Course favourable
- Law, finance, accounting or business degree
- Post-graduate qualifications a bonus
- 6+ years’ experience in advice compliance roles
- Extensive financial services experience essential
- Some asset management experience preferred
- Strong communicator and relationship manager
- Confident presenter in front of senior stakeholders including advisers
- Proven ability to be results oriented and drive good stakeholder outcomes
- Strategic thinker
- Desire and aptitude to deliver innovative solutions in the delivery of team strategy

Behaviours
- Our unique culture is underpinned by our three organisational behaviours, Stretch, Own it, Make an impact.- Employee benefits-
- Work from anywhere in Australia for up to one month each year
- An annual allowance to empower you to prioritise your personal wellbeing
- Access to LinkedIn learning, study support and commitment to supporting professional development
- Lend your expertise and support Indigenous organisations to achieve their own development goals with a six weeks’ secondment with JawunDiversity and inclusion-
- WGEA Employer of Choice for gender equality since 2018
- Strong commitment to all aspects of Diversity and Inclusion through a robust 7 pillar strategy
- A growing number of employee-led networks who work to raise awareness and drive continued change

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