Investment Compliance Specialist

2 weeks ago

Sydney, New South Wales, Australia beBeeResolution Full time $95,000 - $110,000

About this role

This is an exciting opportunity to join our team as a Complaints Resolution Specialist, where you will play a pivotal part in shaping the future of investing in Australia.

In this role, you will be responsible for expertly managing and resolving customer complaints within our Internal Dispute Resolution (IDR) framework. Your primary responsibility will be to provide high-quality written responses to complainants, clearly summarising issues, findings, outcomes, and options for further escalation.

You will work closely with our regulatory stakeholders, including ASIC and AFCA, to ensure strict adherence to relevant regulations and guidelines. This includes maintaining meticulous records of all complaints, correspondence, actions, and outcomes within our complaint management system.

We are looking for someone with a strong technical understanding of ASIC's Regulatory Guide 271 (RG271), as well as experience interacting with the Australian Financial Complaints Authority (AFCA). If you have a proven track record in managing AFCA escalations and processes, including drafting submissions and coordinating evidence, we would love to hear from you.

Key responsibilities:

  • Manage the end-to-end lifecycle of customer complaints in accordance with our IDR policy and process.
  • Provide high-quality written responses to complainants, clearly summarising issues, findings, outcomes, and options for further escalation.
  • Escalate unresolved or complex complaints to appropriate internal teams or to AFCA, as appropriate.
  • Maintain meticulous records of all complaints, correspondence, actions, and outcomes within our complaint management system.

Requirements:

  • Minimum 2 years' experience in complaints handling, risk & compliance, or similar role (preferably in financial services or fintech).
  • Understanding of ASIC RG271 and the Australian complaints landscape.
  • Strong verbal and written communication skills—able to explain complex issues clearly, professionally, and with empathy.
  • Proven expertise in managing AFCA escalations/processes, including drafting submissions and coordinating evidence.
  • Practical experience with ASIC complaint data reporting, including data accuracy, process compliance, and trend analysis.

Benefits:

  • Competitive salary and bonus scheme.
  • Office gym membership.
  • Group private health insurance.
  • Unlimited training and growth opportunities in the investment industry.

About us

We are a leading CHESS-sponsored share trading platform making investing accessible and transparent for all Australians. Our commitment to integrity, efficiency, and customer-first service is underpinned by robust compliance and complaint handling practices.

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