Advisory Expert

2 days ago

Melbourne, Victoria, Australia beBeeCompliance Full time $110,000 - $123,000
Job Title: Compliance Advisory Manager

The role of this position is to provide expert advice on regulatory compliance in superannuation, investments, financial advice, administration and insurance broking.

The ideal candidate will have experience in interpreting and applying associated legislative requirements. They will also possess excellent communication and presentation skills, as well as the ability to provide strategic advice on risk culture behaviours and consequence, controls, process and administrative matters.

The successful candidate will drive positive outcomes and bring about change within a large organisation. They will have in-depth knowledge and understanding of regulatory obligations in relation to superannuation, investments, financial advice, administration and insurance broking.

As a member of our Risk and Compliance team, you will play a critical part in developing and managing compliance frameworks and policies and delivering compliance advice to ensure that our business operates in alignment with our policies, procedures and regulatory obligations.

  • Provide expert advice on regulatory compliance in superannuation, investments, financial advice, administration and insurance broking.
  • Support the development and enhancement of comprehensive compliance frameworks and policies, and processes that enable us to effectively manage compliance risks.
  • Undertake Line 2 activities for obligations management including the maintenance of the obligations library.
  • Ensure the establishment and implementation of effective monitoring mechanisms for compliance practices, providing advisory support to assess adherence to organisational policies and regulatory obligations, while identifying areas for improvement and enhancing compliance measures.
  • Manage and maintain appropriate financial services and trustee licensing and authorisations.
  • Undertake Line 2 activities for conflicts management including governance, conducting conflicts of interest assessments and preparation of conflicts management plans.
  • Undertake reviews of compliance plans for managed investment schemes.
  • Review product disclosure documentation and marketing collateral.
  • Conduct training on compliance frameworks and policies.

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