Expert Compliance Advisor

3 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $120,000 - $150,000
Compliance Expert Role

We are seeking a skilled Compliance Expert to oversee and manage the execution of our Quality Assurance and Compliance framework.

Key Responsibilities:
  • Investigate matters regarding brokers' behavioural and professional conduct, ensuring thorough analysis and evaluation of evidential information.
  • Liaise with stakeholders on conduct issues, providing effective communication and reporting.
  • Monitor oversight of Finsure Mentors and Mentees, maintaining a high level of professionalism and expertise.
  • Provide compliance support to Finsure brokers, offering guidance and advice as needed.
  • Complete reference checks for new and separated brokers, ensuring accurate and reliable results.
Reporting & Documentation:
  • Maintain Governance Registers, keeping records up-to-date and accurate.
  • Prepare reports on investigation outcomes and recommendations, presenting findings in a clear and concise manner.
  • Review and provide input to policies and standards, ensuring they remain relevant and effective.
  • Prepare compliance reports as needed, utilizing data and insights to inform decision-making.
  • Report on any breaches observed or uncovered, taking prompt action to mitigate risks.
Audits & Meetings:
  • Provide reporting for compliance and risk meetings, presenting key findings and recommendations.

Requirements:

  • 2+ years of experience in a Compliance role or equivalent industry experience, with a proven track record of success.
  • Strong written and oral communication skills, with the ability to collect, analyze, and evaluate evidential information.
  • Ability to work effectively and efficiently towards goals in a complex environment, with autonomy and self-directed learning.
  • Autonomy and self-directed learning, with the ability to interpret and apply relevant legislation into practice.

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