Regulatory Compliance Specialist

2 weeks ago

Melbourne, Victoria, Australia beBeeCompliance Full time $110,000 - $130,000
Compliance Manager Role

We are seeking a driven Compliance Manager to assume key responsibilities in Melbourne. Key duties include conducting regular reviews of practices and files to ensure brokers comply with industry regulations, company policies, and AFSL obligations.

  • Supervise and Monitor: Conduct thorough practice and file reviews, ensuring compliance with AFSL requirements, industry laws, and internal policies.
  • Identify and Escalate: Detect potential risks, trends, and issues, providing constructive feedback and recommendations for improvement.
  • Reporting and Documentation: Prepare detailed reports on reviews, maintain accurate records, and support the Head of Compliance in preparing reports for senior management and regulatory bodies.
  • Breach Management: Investigate incidents, manage breaches, assist in reporting to ASIC, monitor corrective actions, and maintain breach registers.
  • Training and Development: Design engaging training programs for brokers on compliance requirements, professional standards, and ethical conduct.
About You
  • You must have experience managing high-volume logistics under pressure.
  • Demonstrate knowledge of technology and standard desktop software (MS/Excel, Word, Powerpoint).
  • Be passionate about learning and committed to the insurance industry.
  • Demonstrate integrity, displaying good communication skills (oral and written).
  • Team player who maintains solid working relationships with colleagues and stakeholders.

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