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Compliance Officer

2 months ago

Brisbane, Queensland, Australia HPX Group Pty Full time
About Us

Source Compliance, a subsidiary of the HPX Group, is a leading provider of specialist compliance and risk management services to the financial services industry.

Our Approach

We offer our clients tailored, flexible, and outcome-driven solutions that adapt to their unique business needs.

Our Values

We prioritize personal and professional development, creating an environment where our people can thrive and deliver exceptional results.

The Role

We are seeking a Compliance professional with experience in the financial advice sphere to join our expanding team in Brisbane.

Key Responsibilities
  • Conduct adviser file audits and report on findings and appropriate remediation.
  • Prepare compliance reports for Boards and Committees as required.
  • Prepare and update tailored policies and procedures for clients.
  • Act as a compliance resource for clients.
  • Review client AML/CTF compliance obligations.
  • Assist with reviewing and feedback on compliance documents including FSGs, SOAs, and Client Engagements.
  • Review promotional material for compliance with relevant regulations and legislation.
  • Implement compliance programs and manage the ongoing monitoring.
  • Provide ongoing support with compliance obligations.
  • Liaise with auditors and annual audit management.
  • Monitoring of ongoing AFS Licence conditions of the clients.
  • Implementation of regulatory change.
  • Compliance training.
Areas for Growth
  • Conduct AFSL health checks, assist with AFSL regulatory lodgements, and prepare AFSL variations and updates of key proof documentation.
  • Design solutions for Regulatory Change.
Requirements
  • 2+ years' experience in a compliance (or audit) role, within the advice financial services industry.
  • Product-related compliance experience will be highly regarded, especially financial advice, or General Insurance Broking, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management, and/or IDPS/investment platforms.
  • Ability to work autonomously and efficiently.
  • Intermediate level of experience with Microsoft Office products.
  • Excellent written and verbal communication skills.
  • Strong client/stakeholder relationship management and development abilities.
  • Organized and comfortable multitasking and prioritizing.