EOI Compliance Officer

1 week ago

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

Source Compliance, a leading National Specialist Compliance and Risk Management provider, serves the financial services industry with professional, flexible, and outcome-driven solutions. Our businesses are powered by a 'people experience' (PX) that delivers the best possible 'client experience' (CX). We operate with a clear purpose and values-driven leadership model, prioritizing personal and professional development.

The Role

We are seeking a Compliance professional with experience in the financial advice sphere to join our expanding team based in Brisbane. The casual employment would be dependent on clients' needs, with assignments ranging from 3 weeks through to 12 months. The successful candidate will be responsible for providing compliance services to a range of Financial Services organizations and supporting other compliance professionals within their specialization.

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 Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) compliance obligations.
  • Assist with reviewing and feedback on compliance documents, including Financial Services Guides (FSGs), Statement of Advice (SOAs), and Client Engagements.
  • Review promotional material for compliance with relevant regulations and legislation.
  • Implement compliance programs and manage ongoing monitoring.
  • Provide ongoing support with compliance obligations.
  • Liaise with auditors and annual audit management.
  • Monitor ongoing Australian Financial Services Licence (AFSL) conditions of clients.
  • Implement 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.
What's In It for You
  • Work jointly with a senior team member on a varied pool of clients that are primarily advice and insurance broking firms but are likely to broaden over time.
  • Pathways to permanent or more senior compliance roles in the future.
  • Have access to the knowledge pool of 10 compliance professionals.
  • Interesting and challenging work in multiple areas of Compliance.
  • Work with a great team in a collaborative and high-performing team environment.
  • Being mentored by senior compliance staff, at the forefront of their profession.
  • Work autonomously but with lots of support when you need it.
  • Be at the forefront of developing new ways of providing compliance services.
  • Flexible working conditions – ability to work from home dependent on client and team commitments.
  • Competitive remuneration.
  • Be part of the HPX Group and work alongside Hamilton Locke, Australia's fastest-growing law firm.

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