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Wealth Management Compliance Professional

2 weeks ago

Sydney, New South Wales, Australia beBeeCompliance Full time
Compliance Specialist - Wealth Management

Job Description:

We are seeking a highly skilled and experienced Compliance Specialist to join our team. The successful candidate will be responsible for providing compliance support, advice and sign-off to our Consumer Wealth Distribution business.

Key Responsibilities:

  • Provide proactive and reliable compliance advice regarding advertising and distributing consumer wealth products
  • Sign off periodic and ad hoc materials (customer & advisor facing) adhering to regulatory guidelines
  • Perform compliance assessments to identify immediate and emerging risks and develop a framework for incident management and on-going monitoring
  • Promote a rigorous, forward thinking and practical approach to our Digital & Marketing Compliance Framework in line with regulatory changes
  • Perform targeted reviews of key risks and controls
  • Run workshops and compliance training to share learnings and best practice to both the Business and the Risk & Compliance teams
  • Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance

Requirements:

  • 5 years of recent compliance, risk assurance or legal experience in Financial Services (preferably in Wealth Management)
  • Degree qualified in Business, Finance, or Legal
  • Pragmatic operator who can thrive in a highly dynamic commercial environment
  • Strong project management and stakeholder influencing skills
  • Understanding of relevant laws, regulations and regulatory guides underpinning a Financial Advice business

Benefits:

The successful candidate will have the opportunity to work with a talented team and contribute to the growth and success of our business.

How to Apply:

If you are a motivated and experienced Compliance Specialist looking for a new challenge, please submit your application via email or apply directly via the 'Apply for this job' button.