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Financial Services Compliance Specialist
2 weeks ago
As a key member of our team, you will play a vital role in ensuring compliance obligations are met by our authorised representatives. This position is responsible for reviewing financial advice files to ensure they meet all regulatory requirements.
Key responsibilities include monitoring call recordings, preparing regular reports for Board meetings and Compliance Letters, handling incidents on our incident reporting software, and collaborating with the compliance and management teams.
The ideal candidate will have sound knowledge of Financial Services regulation in Australia and relevant laws, as well as strong analytical skills and attention to detail.
We value flexibility and offer a blended work environment where you can thrive and prioritize your wellbeing.
Required Skills and Qualifications:- Qualifications: Advanced Diploma in Financial Planning or equivalent
- Regulatory Knowledge: Sound understanding of Financial Services regulation in Australia and relevant laws
- Communication Skills: Strong written and verbal communication skills
- Teamwork: Ability to work unsupervised and collaboratively with other stakeholders
We promote a culture of diversity and inclusion, which drives better client outcomes, continuous improvement, and growth. Our flexible work environment supports the wellbeing of our people.