Compliance Operations Executive

1 week ago

Sydney, New South Wales, Australia beBeeRegulatory Full time $100,000 - $170,000
Compliance Management Specialist

This role oversees and executes the Quality Assurance and Compliance framework, ensuring oversight to brokers- independent licensees and credit representatives. The specialist works closely with various departments and utilises leadership skills to support and empower the Compliance Team.

As a key member of the Compliance & Risk team, primary responsibilities include:

  • Investigating matters regarding Brokers behavioural and professional conduct.
  • Liaising with relevant stakeholders regarding conduct issues.
  • Monitoring oversight of Finsure Mentors and Mentees.
  • Acting as subject matter expert for compliance advisors providing mentoring support and coaching.
  • Providing compliance support to brokers.
  • Completing reference checks for new brokers and separated brokers.
  • Performing ad-hoc project work as required by the Compliance Advisor role.
  • Building effective relationships with members and staff, providing timely responses to the business.

The ideal candidate will possess:

  • At least 2 years' experience in a Compliance role or equivalent industry experience.
  • Strong rapport-building skills with internal and external stakeholders.
  • Excellent written and oral communication skills.
  • Ability to collect, analyse and evaluate evidential information.
  • Able to work effectively and efficiently towards goals in a complex/diverse environment with multiple and changing demands.
  • Autonomy and ability to work independently.
  • Commitment to engaging in continual development and self-directed learning.
  • Ability to interpret and apply relevant legislation into practice.
  • Offsite travel required, including interstate travel.
  • Previous experience in similar industry is highly desirable.
Key Skills Requirements
  • Quality Assurance
  • Banking and Financial Services

  • Account Executive

    1 week ago

    Sydney, New South Wales, Australia Verint Financial Compliance Full time

    Join to apply for the Account Executive role at Verint Financial Compliance2 days ago Be among the first 25 applicantsJoin to apply for the Account Executive role at Verint Financial ComplianceJob DescriptionWe are looking at expanding our ANZ Sales team based in North Sydney with an Account Executive who has experience in Sales & Business Development of...

  • Account Executive

    5 days ago

    Sydney, New South Wales, Australia Verint Financial Compliance Full time

    Join to apply for the Account Executive role at Verint Financial Compliance2 days ago Be among the first 25 applicantsJoin to apply for the Account Executive role at Verint Financial ComplianceJob DescriptionWe are looking at expanding our ANZ Sales team based in North Sydney with an Account Executive who has experience in Sales & Business Development of...

  • Global Compliance and Risk Management Officer

    1 week ago

    Sydney, New South Wales, Australia Hays | Executive Full time $150,000 - $200,000 per year

    Your new company OneSchoolGlobal (OSG) is one of the world's largest and most innovative K-12 school groups, operating in over 20 countries with a shared vision to deliver global education excellence with a unique self-directed learning model, a global ethos, and a strong values-driven culture.We are currently seeking an experienced Global Compliance and...

  • Sportsbook Operational Compliance Executive

    7 days ago

    Sydney, New South Wales, Australia Fdj United Full time

    About UsAt FDJ UNITED, we don't just follow the game, we reinvent it.FDJ UNITED is one of Europe's leading betting and gaming operators, with a vast portfolio of iconic brands and a reputation for technological excellence. With more than 5,000 employees and a presence in around fifteen regulated markets, the Group offers a diversified, responsible range of...

  • Analyst, Compliance And Trade Execution

    7 days ago

    Sydney, New South Wales, Australia Graincorp Full time

    **About our team**The world is growing at an unprecedented rate. As the population climbs, food demand will surge. With operations in grains and oilseeds in Australia, Canada, China, India, New Zealand, Singapore, UK and Ukraine, GrainCorp is an accomplished and diverse business partner operating at scale in a vital industry.**About the role**GrainCorp is...

  • Risk & Compliance Senior Manager

    1 week ago

    Sydney, New South Wales, Australia Capital Executive Search Full time $150,000 - $200,000 per year

    Senior Manager – Risk & ComplianceLocation:SydneyOur client is a listed, renewable energy-powered data center business supporting high-performance computing workloads – spanning Bitcoin mining and AI infrastructure.Headquartered in Sydney with operations across North America and Asia-Pacific, we are scaling a global platform at the intersection of...

  • Chief Executive Officer

    22 hours ago

    Sydney, New South Wales, Australia Six Degrees Executive Full time

    OverviewGet AI-powered advice on this job and more exclusive features.Lead the Future of Technical Facilities ServicesOur client is an innovative, privately owned Australian business specialising in hard and technical facilities services for major asset, commercial, and industrial property owners across the country. With consistent year-on-year growth and a...

  • Chief Executive Officer

    17 hours ago

    Sydney, New South Wales, Australia Six Degrees Executive Full time

    OverviewGet AI-powered advice on this job and more exclusive features.Lead the Future of Technical Facilities ServicesOur client is an innovative, privately owned Australian business specialising in hard and technical facilities services for major asset, commercial, and industrial property owners across the country. With consistent year-on-year growth and a...

  • Compliance Operations Specialist

    6 days ago

    Sydney, New South Wales, Australia beBeeCompliance Full time $105,000 - $145,000

    Job OverviewA career in compliance is more than a job, it's about investing in a brighter financial future together.We are seeking a highly motivated Compliance Analyst to join our Asia Pacific Risk & Compliance department based in Sydney.Develop and maintain policies as required to ensure regulatory compliance.Establish monitoring programs to meet...

  • Operations Executive

    7 days ago

    Sydney, New South Wales, Australia Teg Full time

    **Be part of our tomorrow We are hiring an Operations Executive (Expo) for SXSW Sydney which is a part of TEG, owner of Ticketek, TEG Live, TEG Dainty, TEG Sport, SXSW Sydney, Laneway Festival and 30+ other brands across 40 countries**Every day, TEG connects fans to unforgettable experiences and businesses to their audiences. We proudly partner with some of...