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Compliance Specialist

2 months ago

Brisbane, Queensland, Australia HPX Group Pty Full time

About HPX Group Pty

HPX Group Pty is a leading provider of Compliance and Risk Management solutions, primarily serving the financial services sector. We pride ourselves on delivering tailored, professional, and results-oriented services that evolve with our clients' needs.

Our organization thrives on a culture that emphasizes the 'people experience' (PX), which we believe translates into an exceptional 'client experience' (CX). We are committed to fostering a values-driven leadership approach that prioritizes both personal and professional growth.

In essence, our workplace is designed to empower our employees to excel, enabling them to perform at their best and, in turn, ensuring client satisfaction. We are a diverse group of professionals seeking individuals who are enthusiastic, proactive, and adaptable to a variety of tasks.

Position Overview

We are looking for a Compliance professional to join our dynamic team in a casual or contract capacity, specifically with expertise in the financial advisory domain.

The nature of casual employment will depend on client requirements, with assignments ranging from short-term to extended periods, primarily focused on conducting adviser and broker file assessments and reporting on the outcomes.

In this role, you will operate both independently and collaboratively, providing compliance services to various Financial Services organizations while supporting fellow compliance experts in your area of specialization.

Key Responsibilities

  • Perform audits of adviser files and document findings along with necessary remediation actions.
  • Draft compliance reports for Boards and Committees as needed.
  • Develop and revise customized policies and procedures for clients.
  • Serve as a compliance resource for client inquiries.
  • Evaluate client compliance with AML/CTF obligations.
  • Assist in reviewing compliance documents such as FSGs, SOAs, and Client Engagements.
  • Assess promotional materials for adherence to relevant regulations.
  • Implement compliance programs and oversee ongoing monitoring activities.
  • Provide continuous support for compliance requirements.
  • Coordinate with auditors and manage annual audit processes.
  • Monitor clients' ongoing AFS Licence conditions.
  • Facilitate the implementation of regulatory changes.
  • Conduct compliance training sessions.

Opportunities for Development

  • Conduct health checks for AFSL, assist with regulatory submissions, and prepare updates for key documentation.
  • Design strategies for navigating Regulatory Change.

Ideal Candidate Profile

  • Minimum of 2 years' experience in a compliance or audit role within the financial advisory sector.
  • Experience with product-related compliance is highly valued, particularly in financial advice, General Insurance Broking, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management, and/or IDPS/investment platforms.
  • A willingness to learn new skills, take initiative, and seek clarification when needed.
  • Ability to work independently and efficiently.
  • Intermediate proficiency in Microsoft Office applications.
  • Strong written and verbal communication skills.
  • Excellent client and stakeholder relationship management skills.
  • Highly organized with the ability to multitask and prioritize effectively.

Benefits of Joining Us

  • Collaborate with a senior team member on a diverse range of clients, primarily in the advisory and insurance broking sectors, with potential for broader exposure.
  • Opportunities for career advancement into permanent or more senior compliance roles.
  • Access to a collective knowledge base of 10 compliance professionals.
  • Engage in interesting and challenging work across various compliance areas.
  • Be part of a supportive and high-performing team environment.
  • Receive mentorship from senior compliance staff who are leaders in their field.
  • Enjoy autonomy in your work while having ample support when needed.
  • Contribute to the development of innovative compliance service delivery methods.
  • Benefit from flexible working arrangements, including the possibility of remote work based on client and team commitments.
  • Receive competitive remuneration.
  • Become part of the HPX Group and collaborate with Hamilton Locke, a prominent law firm in Australia.

Application Process

We prefer to engage directly with candidates. If you are interested in this opportunity, please proceed to apply through the designated channels for further information.

For additional insights about HPX Group Pty, please visit our website or follow us on professional networking platforms.