Financial Advice Compliance Specialist

1 week ago


Brisbane, Queensland, Australia beBeeCompliance Full time $100,000 - $110,000

Compliance Professional Opportunity

This is a chance to work in a dynamic environment, leveraging your expertise and knowledge in compliance and regulations.

The role involves supporting a team of financial advisers and back-office staff, utilizing your skills and experience in auditing/compliance/advice coaching roles within a financial advice practice.

You will be responsible for managing business compliance needs, onboarding and training advisers and paraplanning teams, providing coaching and feedback to staff, assessing advice documents, and offering constructive feedback.

About the Role

This position requires an experienced professional with a strong background in auditing/compliance/advice coaching roles. The ideal candidate should have at least 5 years of experience in a compliance manager position, with expertise in Xplan and attention to detail.

You will need excellent technical knowledge, ability to identify and improve processes, and provide constructive feedback to staff. Strong communication skills and ability to work closely with the General Manager are essential for this role.

Duties and Responsibilities

  • Manage internal compliance and support business compliance needs
  • Onboard and train new team members
  • Provide coaching and feedback to staff
  • Assess advice documents and offer constructive feedback
  • Support compliance and regulation changes
  • Be a point of contact for queries related to compliance/policy
  • Attend meetings related to compliance and performance
  • Identify and improve processes


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