Compliance Officer

7 months ago


Brisbane, Australia Source Compliance Full time

**About Us**

Source Compliance, part of the HPX Group, is a National specialist Compliance and Risk Management provider, primarily to the financial services industry. We offer our clients professional, flexible and outcome driven solutions that adapt with their business.

Our businesses are powered by our ‘people experience’ (PX), and we believe this delivers the best possible 'client experience' (CX). This means we are culture-led, operating with a clear purpose and values-driven leadership model, prioritising personal and professional development.

Put simply, our environment allows our people to be the best version of themselves, which enables them to do their best work, and ultimately makes our clients happy. We’re a diverse professional services group, and are looking for someone who is enthusiastic, proactive, happy to give things a go and appreciates variety.

**The role**

We are seeking a Casual Compliance professional with experience in the financial advice sphere, to join our expanding team based in Brisbane on a casual basis.

The casual employment would be dependent on client’s needs, assignments ranging from 3 weeks through to 12 months, with a principle concept to perform adviser file reviews and report on the findings

Working both autonomously and within a team environment, you will be responsible for providing compliance services to a range of Financial Services organisations and supporting other compliance professionals within your specialisation.

**Responsibilities May Include**
- Conduct adviser file audits and report on findings and appropriate remediation.
- Prepare compliance reports for Boards and Committees as required.
- Prepare and update tailored policies and procedures for clients.
- Act as a compliance resource for clients.
- Implement compliance programs and manage the ongoing monitoring.
- Review client AML/CTF compliance obligations.
- Provide ongoing support with compliance obligations.
- Liaise with auditors and annual audit management.
- Assist with reviewing and feedback on compliance documents including FSGs, SOAs and Client Engagements.
- Review compliance with ongoing consent requirements.
- Review promotional material for compliance with relevant regulations and legislation.
- Monitoring of ongoing AFS Licence conditions of the clients.
- Implementation of regulatory change.
- Compliance training.

Areas for Growth:

- Conduct AFSL health checks, assist with AFSL regulatory lodgements and prepare AFSL variations and updates of key proof documentation.
- Design solutions for Regulatory Change.

**We’re Looking for Someone**
- With 2+ years’ experience in a compliance (or audit) role, within the advice financial services industry.
- Product related compliance experience will be highly regarded, especially financial advice, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management and/or IDPS/investment platforms.
- Who is open to learning new skills, giving things a go, and asking questions when you don’t know.
- Ability to work autonomously and efficiently.
- Intermediate level of experience with Microsoft Office products
- Excellent written and verbal communication skills
- Strong client / stakeholder relationship management and development abilities
- Organised and who is comfortable multi-tasking and prioritising

**What’s In It for You**
- Work jointly with a senior team member managing a pool of clients that are primarily advice and insurance broking firms but is likely to broaden over time.
- Pathways to more senior compliance roles in the future
- We will leverage off your existing skills initially and train you along the way
- Have access to the knowledge pool of 10 compliance professionals
- Interesting and challenging work in all areas of Compliance
- Work with a great team in a collaborative and high performing team environment
- Being mentored by senior compliance staff, at the forefront of their profession
- Work autonomously but with lots of support when you need it.
- Be at the forefront of developing new ways of providing compliance services.
- Flexible working conditions - ability to work from home dependent on client and team commitments.
- Competitive remuneration.
- Be part of the HPX Group and work alongside Hamilton Locke, Australia's fastest growing law firm

**How to Apply?**

**Agency submissions**

SourceCompliance


  • Compliance Officer

    7 months ago


    Brisbane, Australia Apex Group Ltd Full time

    Compliance Officer **Description** Do you have compliance experience, and are you seeking a new full-time job in Melbourne? Apex Group is looking for a Compliance Officer ideally based in Melbourne, but also open to consider if you are in Brisbane. As a Compliance Officer, you will be a trusted adviser and support the company's Compliance function in...

  • Compliance Officer

    7 months ago


    Brisbane, Australia Eden Richie Recruitment Full time

    **Compliance Officer** - **8 month contract**: - **Berrinba location** **As the Compliance Officer, your key responsibilities will include**: - Appropriately exercise powers of an authorised officer under the _Biosecurity Act 2014 _and other applicable governance requirements and support other team members in doing the same - As appropriate, exercise...

  • Compliance Officer

    7 months ago


    Brisbane, Australia LRI Invest Full time

    Description Do you have compliance experience, and are you seeking a new full-time job in Melbourne? Apex Group is looking for a Compliance Officer ideally based in Melbourne, but also open to consider if you are in Brisbane. As a Compliance Officer, you will be a trusted adviser and support the company's Compliance function in Melbourne and Brisbane. You...

  • Compliance Officer

    3 months ago


    Brisbane, Australia Agriculture and Fisheries Full time

    **As one of our Compliance Officers, you will**: - As appropriate, exercise powers of an authorised officer under the Biosecurity Act 2014 and support other officers to do the same. Engage directly with a range of industry stakeholders to provide accurate information and guidance on biosecurity compliance to foster a clear understanding of requirements and...

  • Compliance Officer

    2 months ago


    Brisbane, Australia Queensland Fire Department Full time

    QFR Duty Statement Station Officer Purpose of specific work area and position The Compliance and Prosecution Unit (CPU), Investigations and Compliance Section is responsible for enforcing compliance with the Fire Services Act 1990 and Building Fire Safety Regulation 2008. The unit coordinates all enforcement action against persons or entities that fail to...

  • Compliance Officer

    3 days ago


    Brisbane, Australia Sunkids Management Full time

    **About the role** The Sunkids Compliance Support Officer will be based at Sunkids Children’s Centre Support Office located in Eight Mile Plains QLD. The successful applicant will work closely with Sunkids Management Support Team to ensure compliance, legislative and operations requirements are consistently being implemented. The Sunkids Compliance...

  • Compliance Officer

    2 weeks ago


    Brisbane, Australia Followmont Transport Pty Ltd Full time

    **Compliance Officer** **-** **(**COM00000010**)** **Description** Are you passionate about safety, compliance, and operational excellence? Join the team as a **Compliance Officer** and play a pivotal role in maintaining our commitment to safety, integrity, and professional standards. This role is focused on producing high-quality, detailed work based on...

  • Compliance Officer

    5 months ago


    Brisbane, Australia Bradken Full time

    **Who We Are**: Bradken is equipping the resource sector to advance society sustainably. Bradken is an Australian headquartered global industrial company that invests in the design, manufacture and supply of products and services for the mining sector. As a wholly owned subsidiary of the Hitachi Construction Machinery (HCM) group of companies, our...

  • Compliance Officer

    3 months ago


    Brisbane, Australia Compass Group Australia Full time

    Delta Facilities Management delivers asset management, maintenance and construction services. Due to unprecedented growth on our QCH Project in South Brisbane, we are looking for an experienced Compliance Officer. **The Position** Working closely with the Operations Team reporting to the Engineering Manager this role is responsible for facilitating...

  • Compliance Officer

    7 months ago


    Brisbane, Australia Queensland Health Full time

    The role In this role, your expertise as an enforcement officer will be crucial to upholding public health regulations. Beyond resilience and confidence in field investigations, you'll be adept at interpreting legislation and guidelines to ensure effective operations. Your duties will encompass planning and conducting compliance inspections and taking...


  • Brisbane, Australia HAYS Full time

    Exciting opportunity to work for a leading RTO in Brisbane. Permanent position offering an attractive salary **Your new company**: Hays has partnered with a leading RTO to recruit an experienced Quality and Compliance Officer. This RTO offers a range of nationally recognised certificate diploma-level qualifications across a wide range of industries. The...


  • Brisbane, Australia Public Sector People Full time

    High Profile State Government Department - $60.25 per hour + super - Short Term Contract | Possibility Extension Public Sector People are working with a High Profile State GOV Department and we are seeking a highly motivated and experienced Compliance & Monitoring Officer to join their team. The Monitoring Officer is responsible for monitoring and...


  • Brisbane, Australia PERSOLKELLY Full time

    PERSOLKELLY is looking for a Development Compliance Officer for QLD government in Strathpine PERSOLKELLY is looking for a Development Compliance Officer for QLD government in Strathpine, Brisbane. - Queensland Government Role - 6 months contract - ASAP start - Mon - Fri, ASAP start, 36.25/hr This position will provide technical advice and operational and...


  • Brisbane, Australia CPL - Choice, Passion, Life Full time

    Bring your experience to our values-based organisation. - Opportunities for flexible work. - Play a vital role in upholding CPL's values. **Risk and Compliance Officer | Not For Profit** **Job Title**:Risk and Compliance Officer **Hours**: Full time Mon to Fri **Location**: Brisbane CBD office **Salary**: Circa $70,000pa dep exp plus salary sacrifice up to...


  • Brisbane, Australia Gough Recruitment Full time

    Top Tier Property Service Provider - Inner City Location - Supportive team culture **The Client** Our client is a Top Tier Commercial Property Group who is seeking to appoint a Retail Lease and Compliance Officer to join their high-performing team. In place is a highly regarded management team that has a commitment to providing a positive and professional...


  • Brisbane, Australia Residential Tenancies Authority Full time

    The role of a Compliance and Enforcement Officer is to investigate alleged offences and undertake proactive compliance monitoring and audits in line with the RTA's Compliance and Enforcement Action Plan and Policy. Investigations are to be conducted with procedural fairness and impartiality to provide appropriate fact-based outcomes. This position will also...


  • Brisbane, Australia Queensland Government Full time

    **_The Investigations and Enforcement Division is a division of the Office of Fair Trading, responsible for monitoring Queensland businesses that are in trade or commerce to ensure a safe and fair marketplace. It achieves this goal by educating consumers, traders and organisations about their rights and responsibilities under fair trading legislation,...


  • Brisbane, Australia Allianz Partners Full time

    **What you do**: The Risk & Compliance Officer for the Health LOB reports to the Head of Product and Underwriting - Health and will directly support individuals in the Product Lead and the Risk & Compliance Lead positions within the Health line of business. The team member will focus their attention on the Health LOB which includes student and visitor...

  • Rf Compliance Officer

    2 weeks ago


    Brisbane, Australia Ventia Pty Limited Full time

    Ventia are seeking an RF Compliance Officer to join the friendly and fast-paced team in Shailer Park on a permanent full-time basis. The RF Compliance Officer prepares radiation hazard diagrams for radio communications sites (e.g. rooftops, towers, and poles), generates ARPANSA environmental reports and Preliminary RF Hazard Diagrams (PRD), advises on the...

  • Compliance Officer

    7 months ago


    Brisbane, Australia dnata catering Full time

    **Do you want a high-flying corporate career working for the world’s largest air services provider, based in Brisbane?** We are seeking an experienced professional to join our Brisbane team as **Compliance Officer - Aviation**, on a **full time** basis (12-month fixed term contract)**.** Reporting to the Business Manager and working closely with the...