Financial Services Compliance Expert

2 weeks ago

Melbourne, Victoria, Australia beBeeCompliance Full time
Compliance Specialist Role

This role is pivotal in supporting the effective functioning of the Member Compliance team.

  • Investigating reported incidents to identify potential regulatory breaches and analysing incident details, gathering evidence, and documenting findings.
  • Escalating complex incidents in line with required processes, identifying patterns and trends in incidents to uncover systemic issues.
  • Assisting incident owners to develop strategies to address root causes, developing training materials to facilitate learning and understanding.

The ideal candidate will possess strong analytical, communication, and documentation skills, with 3+ years' experience in a similar financial services role.

  • RG 146 competent with ongoing CPD, commercially astute, with sound knowledge of risk and compliance frameworks.
  • Ability to work in cross-functional teams and influence stakeholders, possessing poise and ability to act calmly in high-pressure situations.
  • High level of personal integrity and confidentiality, with excellent interpersonal skills.

Key Responsibilities:

  • Collate and report data on incidents, provide administrative support, and maintain compliance documentation.
  • Develop and implement strategies to enhance compliance processes, ensuring adherence to regulatory requirements.
  • Provide guidance and support to colleagues on compliance matters, promoting a culture of compliance within the organisation.

Requirements:

  • Strong knowledge of superannuation and financial advice laws, with experience working in a similar role.
  • Excellent analytical and problem-solving skills, with ability to work independently and as part of a team.
  • Proficient in using technology to support compliance activities, with a commitment to ongoing learning and professional development.

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