Financial Services Compliance Specialist

6 days ago

Sydney, New South Wales, Australia Perpetual Full time
Job Overview

We are seeking an experienced Compliance Manager to join our LARCCS Division, working alongside senior stakeholders to drive good risk culture and good risk outcomes across the Perpetual Wealth Management division and Perpetual Group more generally.

About the Role

This role will be focused on implementing all aspects of the Compliance Risk Management Framework, including compliance policies, plans, training, monitoring, and licence management. You will work closely with the LARCCS Compliance team, other LARCCS colleagues, and business teams to ensure effective implementation.

The successful candidate will have extensive experience in advice compliance roles, with a strong understanding of financial services regulations and laws. They will be confident presenters, able to communicate complex information to senior stakeholders and advisers.

Key Responsibilities
  • Implement compliance policies and plans across the Perpetual Wealth Management division and Perpetual Group.
  • Develop and deliver compliance training programs for staff and advisers.
  • Maintain accurate records of compliance monitoring and reporting.
  • Liaise with regulatory bodies to ensure compliance with relevant laws and regulations.
Requirements
  • Diploma in Financial Planning (DFP) or Advanced Diploma (ADFP).
  • Familiarity with FASEA ethics course and its application in the financial services industry.
  • 6+ years' experience in advice compliance roles, preferably in a wealth management environment.
  • Strong communication and relationship-building skills, with the ability to present to senior stakeholders.
What We Offer

We offer a competitive salary range of $120,000 - $180,000 per annum, depending on experience, as well as a comprehensive benefits package, including access to LinkedIn learning and professional development opportunities. Our workplace is committed to diversity and inclusion, and we welcome applications from people from all backgrounds and communities.

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