Compliance Officer

3 weeks 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

    2 weeks ago

    Brisbane, Queensland, Australia Compliance Wise Full time

    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 decisive...

  • Public Health Regulation Officer

    2 hours ago

    Brisbane, Queensland, Australia Compliance Wise Full time

    Compliance Made EasyAt Compliance Wise, we understand the importance of compliance in today's business landscape. That's why we're committed to providing high-quality compliance solutions to our clients, while also ensuring that public health regulations are upheld.We're currently seeking a Public Health Regulation Officer to join our team. In this role, you...

  • Compliance Officer

    3 weeks 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

    3 weeks 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

    2 weeks ago

    Brisbane, Queensland, Australia Queensland Government Full time

    Find purpose you feel, impact you see and a legacy you bring to life. #DAFcareersAs One Of Our Compliance Officers, You Will:Contribute to the continuous improvement, review and implementation of sound compliance activities and practices through continual learning, participating in mentoring and actively supporting other Compliance Officers in the field.Just...

  • Enforcement Operations Manager

    2 hours ago

    Brisbane, Queensland, Australia Compliance Wise Full time

    Welcome to Compliance WiseWe are a leading provider of compliance solutions, dedicated to upholding public health regulations. Our team of experts works tirelessly to ensure that our clients' businesses operate within the bounds of the law.We are currently seeking an Enforcement Operations Manager to join our team. In this role, you will be responsible for...

  • Compliance Officer

    1 week ago

    Brisbane, Australia Queensland Country Bank Full time

    Put simply, we are a bank that has a distinct purpose of helping Queenslanders live better lives through better finances. About the Role We now have an exciting opportunity for an experience Compliance Officer to join our Compliance Department on a full time permanent basis. As a Compliance Officer you will be responsible for providing the highest standard...

  • Compliance Officer

    2 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

    3 weeks 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

    2 weeks ago

    Brisbane, Queensland, Australia ClearCompany Full time

    Compliance Officer (NDIS Safety and Quality)Is Accord Care the Right Fit for You?You're in a role where you're good at what you do, but something feels like it's missing. With experience in Australian healthcare/disability spaces, you're seeking a workplace where you can genuinely belong—a place where the culture aligns with your values, and your...

  • Compliance Officer

    2 hours ago

    Brisbane, Queensland, Australia DXC Technology Inc. Part time

    Are you ready to be part of something truly innovative?At DXC, we are thrilled to announce the launch of our new self-insurance business operation, and we are looking for talented individuals to join our growing team.This is a unique opportunity to help shape the future of our operations, as we build a customer-focused service team from the ground up.At DXC,...

  • Compliance Officer

    2 weeks ago

    Brisbane, Queensland, Australia The University of Queensland Full time

    Compliance Officer - Work Integrated Learning (WIL)Compliance Officer - Work Integrated Learning (WIL)Apply locations St Lucia Campus, Herston Campus, Dutton ParkTime type: Full timePosted on: Posted YesterdayJob requisition id: R-47427Faculty of Health, Medicine and Behavioural SciencesFull-time, fixed-term position through to August 2025Base salary will be...

  • Compliance Officer

    5 hours ago

    Brisbane, Queensland, Australia The University of Queensland Full time

    Compliance Officer - Work Integrated Learning (WIL)Compliance Officer - Work Integrated Learning (WIL)Apply locations St Lucia Campus, Herston Campus, Dutton ParkTime type: Full timePosted on: Posted YesterdayJob requisition id: R-47427Faculty of Health, Medicine and Behavioural SciencesFull-time, fixed-term position through to August 2025Base salary will be...

  • Compliance Officer

    3 weeks ago

    Brisbane, Australia Hudson Australia Full time

    Looking for a new challenge with a compnay where you are encouraged to stretch yourself & everyone is excited about what they are doing? A role with fantastic career opportunites? Read on **My client** My client is an Australian Technology development company with a focus on disruptive technologies, including Blockchain (DLT), Artificial Intelligence, Low...

  • Compliance Officer

    1 week ago

    Brisbane, Queensland, Australia Acendre Full time

    Compliance Officer (Compliance and Investigations)APS level 5$86,204 - $93,226Adelaide, Brisbane, Canberra, Darwin, Hobart, Melbourne, Sydney and PerthThe Aged Care Quality and Safety Commission have an ongoing opportunity for a Compliance Officer.The Compliance Officer plays a key role in supporting the section's strategic priorities by providing...

  • Compliance Officer

    2 weeks ago

    Brisbane, Queensland, Australia DXC Technology Inc. Full time

    Are you ready to be part of something truly innovative?At DXC, we are thrilled to announce the launch of our new self-insurance business operation, and we are looking for talented individuals to join our growing team. This is a unique opportunity to help shape the future of our operations, as we build a customer-focused service team from the ground up. At...

  • Compliance Officer

    18 hours ago

    Brisbane, Queensland, Australia IOR Full time

    We are seeking a highly motivated Compliance Officer to join our team. As a key member of our operations, you will be responsible for ensuring that our organization complies with industry regulations and internal policies.You will develop and maintain document control systems and procedures, ensuring compliance with industry regulations and internal...

  • Compliance Officer

    2 days ago

    Brisbane, Queensland, Australia West Recruitment Pty Ltd Full time

    Role OverviewWe are seeking an experienced Compliance Officer to join our team at West Recruitment Pty Ltd. The successful candidate will be responsible for ensuring compliance with relevant legislation and regulations at our operations.About Our Client:Our client is a leading provider of integrated logistics services, specializing in land transport, air and...

  • Regulatory Compliance Officer

    34 minutes ago

    Brisbane, Queensland, Australia Brisbane City Council Full time

    Job Description:OverviewBrisbane City Council is seeking a skilled Regulatory Compliance Officer to join our Compliance and Regulatory Services team. Our team provides services that make Brisbane a fairer and safer place 24/7.The role will be responsible for conducting compliance assessments, investigations, and providing recommendations and advice to...

  • Compliance Officer

    3 weeks ago

    Brisbane, Australia LogiCamms Limited Full time

    **About Us** Competency Training (RTO#31299) industry leading training brand owned by Verbrec with training facilities in Brisbane (North and West), Central Queensland, Perth, and Darwin. We also deliver and manage on-site training for some of the largest companies and projects throughout the world. We specialise in training and assessment for the...