Expert Regulatory Advisor

1 week ago

Sydney, New South Wales, Australia beBeeRegulatory Full time $124,000 - $154,000
Compliance Advisory Role

We are seeking a talented individual to join our Risk and Compliance team.

  • This role will be based in Sydney or Melbourne.
  • It is a hybrid role that requires working at least three days a week in the office.

As a key member of our Compliance team, you will play a critical part in developing and managing compliance frameworks and policies. You will deliver compliance advice to ensure that our business operates in alignment with our policies, procedures, and regulatory obligations.

Your Key Responsibilities:
  1. Provide expert compliance advisory services in relation to superannuation, investments, financial advice, administration, insurance broking and other key matters to relevant stakeholders across our organisation.
  2. Support the development and enhancement of comprehensive compliance frameworks and policies, and processes that enable the organisation to effectively manage compliance risks.
  3. Undertake Line 2 activities for obligations management including the maintenance of the obligations library for our organisation.
  4. Ensure the establishment and implementation of effective monitoring mechanisms for compliance practices, providing advisory support to assess adherence to organisational policies and regulatory obligations, while identifying areas for improvement and enhancing compliance measures across the organisation.
  5. Manage and maintain appropriate financial services and trustee licensing and authorisations of our entities.
  6. Undertake Line 2 activities for conflicts management including governance, conducting conflicts of interest assessments and preparation of conflicts management plans as required fit and proper requirements including assessments of persons in regulated roles, appointments and removals of Responsible Persons and Responsible Managers.
  7. Undertake reviews of compliance plans for managed investment schemes.
  8. Review product disclosure documentation and marketing collateral.
  9. Conduct training including in respect of on compliance frameworks and policies.
What We Are Looking For:
  • Experienced compliance professional working in a similar role in regulatory compliance or legal areas with experience in the Australian financial services industry preferred.
  • Excellent communication and presentation skills.
  • Ability to provide pragmatic and strategic advice to the Business, senior executives and Board stakeholders in respect of risk culture behaviours and consequence, controls, process and administrative matters.
Why This Opportunity?
  • Ability to drive positive outcomes and bring about change within a large organisation.
  • In depth knowledge and understanding of regulatory obligations in relation to superannuation, investments, financial advice, administration and insurance broking.

At Marsh McLennan, we help you be your best through professional development opportunities. We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients and communities.

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