Compliance Specialist for Wealth Management Strategy

2 weeks ago

Sydney, New South Wales, Australia Perpetual Full time

At Perpetual, we are seeking a skilled Compliance Manager to join our Legal, Audit, Risk CoSec Compliance & Sustainability (LARCCS) Division. This role will focus on driving good risk culture and outcomes across our Perpetual Wealth Management division and the broader Perpetual Group.

About the Opportunity

This is an exciting opportunity for a Compliance professional to work alongside senior stakeholders in implementing all aspects of the Compliance Risk Management Framework. Key responsibilities include:

  • Developing and maintaining compliance policies and plans
  • Designing and delivering compliance training programs for advisors, including best interest duty and FASEA code training
  • Maintaining AFSLs, ACLs, RSE, RMs, and RPs licenses, as well as authorizing financial advisers
  • Monitoring business operations to ensure compliance with regulatory requirements
  • Managing mergers and acquisitions through compliance advisory services

As part of the LARCCS Compliance team, you will contribute to a culture of knowledge sharing and collaboration across broader LARCCS teams. You will assist in developing and delivering the LARCCS Compliance team strategy and positively contribute to all aspects of team discussions, debate, and decision-making.

About You

We are looking for an experienced Compliance professional with a strong background in advice compliance roles, extensive financial services experience, and excellent communication and relationship management skills. A Diploma in Financial Planning or similar qualification would be highly regarded. Post-graduate qualifications are also beneficial.

About Us

Perpetual is committed to creating an inclusive workplace where diversity is celebrated. We encourage applications from people from all backgrounds and communities. Our goal is to provide a work environment that enables employees to thrive, whatever their circumstances.

Benefits

We offer a competitive salary package, including an annual allowance to prioritize personal wellbeing, access to LinkedIn learning, study support, and commitment to supporting professional development. Additionally, you will have the opportunity to lend your expertise and support Indigenous organisations through a six-week secondment with Jawun.

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