Senior Regulatory Advisor

3 days ago

Brisbane, Queensland, Australia beBeeCompliance Full time $90,000 - $120,000
Compliance Expert

At a forward-thinking organization, we empower professionals to deliver exceptional compliance solutions. As a Compliance Specialist, you will play a vital role in maintaining regulatory standards and internal policies.

Key Responsibilities:
  • Monitor and interpret changes in applicable regulations, including the Corporations Act, Insurance Contracts Act, and ASIC Act, and assess their impact on our business.
  • Support the implementation and maintenance of compliance policies, procedures, and controls.
  • Assist with compliance reviews to ensure adherence to our licensee's general obligations and internal policies.
  • Review client files and adviser communications to ensure adherence to regulatory obligations regarding advice, disclosures, record keeping, acting fairly, honestly, and efficiently.
  • Prepare adviser file review reports and maintain accurate records of outcomes, remediation, and required training and education.
  • Assess adherence to best interest duty, product suitability, and appropriate management of conflicts of interest.
  • Assist in implementing corrective actions and continuous improvement initiatives.
  • Maintain breaches, incident, and complaints registers and monitor for patterns to identify root cause issues or opportunities for education and training uplift.
  • Provide guidance and training to staff on compliance-related matters, including reviewing marketing material and advice practices.
  • Investigate and report on compliance breaches and support corrective actions.
  • Assist in preparing and submitting regulatory filings and reports.
  • Support the development and delivery of the compliance monitoring plan.
  • Maintain up-to-date records and documentation in line with regulatory and audit requirements.

Requirements:

  • At least 3 years' experience within a general insurance brokerage business.
  • Tier 1 insurance broking accreditation (or similar).
  • Exceptional written and verbal communication skills.
  • An understanding of compliance review processes, risk, and compliance principles and frameworks.
  • Proven decision-making skills, analytical and critical thinking capabilities, and an ethical mindset and commitment to regulatory integrity.

If you are passionate about delivering exceptional compliance solutions and have the required skills and qualifications, please submit your application.

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