Insurance Regulatory Compliance Professional

2 days ago

Brisbane, Queensland, Australia beBeeCompliance Full time $100,000 - $120,000

Regulatory Compliance Expertise Sought

We're looking for a skilled Regulatory Compliance Specialist to join our team. As a key member, you'll work collaboratively with operational and administrative teams to maintain regulatory standards and internal policies.

You will assist with routine compliance tasks, preparing documentation, and contribute to a positive culture of integrity and accountability.

We're open to location but prefer someone based in Brisbane, Sydney, or Melbourne to co-locate with our team, with some national travel required.

  • Monitor and interpret changes in applicable regulations, particularly the Corporations, Insurance Contracts, and ASIC Acts, and assess their impact on the business.
  • Support the implementation and maintenance of compliance policies, procedures, and controls.
  • Assist with compliance reviews to ensure adherence to licensee's general obligations and internal policies.
  • Review client files and adviser communications to ensure adherence to regulatory obligations regarding advice, disclosures, record keeping, acting fairly, honestly, and efficiently.
  • Prepare adviser file review reports and maintain accurate records of outcomes, any remediation, and required training and education.
  • Assess adherence to best interest duty, product suitability, and appropriate management of conflicts of interest.
  • Assist in the implementation of corrective actions and continuous improvement initiatives.
  • Maintain breaches, incident, and complaints registers and monitor for patterns to identify root cause issues or opportunities for education and training uplift.
  • Provide guidance and training to staff on compliance-related matters, including reviewing marketing material and advice practices.
  • Investigate and report on compliance breaches and support corrective actions.
  • Assist in the preparation and submission of regulatory filings and reports.
  • Support the development and delivery of the compliance monitoring plan.
  • Maintain up-to-date records and documentation in line with regulatory and audit requirements.
  • Collaborate across first and second-line risk and compliance teams, operational teams, and legal teams to support overall risk management and liaise with regulators and external auditors as needed.
  • Contribute to risk assessments and internal control reviews related to insurance broking activities.

Key Requirements

  • At least 3 years' experience within a general insurance brokerage business.
  • Tier 1 insurance broking accreditation (or similar).
  • Exceptional written and verbal communication skills.
  • An understanding of compliance review processes, risk, and compliance principles and frameworks.
  • Proven decision-making skills – ability to make effective, competent, and commercial decisions in a timely manner.
  • An ethical mindset and commitment to regulatory integrity.
  • Analytical and critical thinking capabilities to interpret a range of data, identify patterns, trends, and links that inform judgment and solutions.
  • Ability to work independently, managing multiple priorities while recognizing, understanding, and supporting the need for continual improvement.

What We Offer

  • Competitive remuneration + opportunity for an annual incentive.
  • An environment that encourages professional growth based on skills and interests.
  • Paid volunteer leave, birthday leave + more benefits.
  • Flexible working arrangements, with scope for some work-from-home.
  • Employee Assistance Program for you and immediate family members.

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