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Compliance Specialist

2 months ago

Brisbane, Queensland, Australia HPX Group Pty Full time

About Us

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 organizational culture is driven by our commitment to our 'people experience' (PX), which we believe translates into an exceptional 'client experience' (CX). We foster a purpose-led environment that emphasizes values-driven leadership, prioritizing both personal and professional growth.

In essence, we create a workplace where our employees can thrive, enabling them to perform at their best and ensuring client satisfaction. We are a diverse group of professionals seeking individuals who are enthusiastic, proactive, and adaptable to various challenges.

The Role

We are looking for a Compliance professional to join our expanding team, ideally with experience in the financial advisory sector. This position may be casual or contractual, depending on client requirements, with assignments ranging from a few weeks to several months.

Your primary responsibilities will include conducting adviser and broker file reviews and reporting on your findings. You will work both independently and collaboratively, providing compliance services to various Financial Services organizations while supporting fellow compliance professionals.

Key Responsibilities

  • Perform audits of adviser files and document findings along with necessary remediation steps.
  • Generate compliance reports for Boards and Committees as needed.
  • Develop and revise customized policies and procedures for clients.
  • Serve as a compliance resource for clients.
  • Evaluate client AML/CTF compliance responsibilities.
  • 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.
  • Provide continuous support regarding compliance obligations.
  • Coordinate with auditors and manage annual audits.
  • Monitor clients' ongoing AFS Licence conditions.
  • Facilitate the implementation of regulatory changes.
  • Conduct compliance training sessions.

Opportunities for Growth

  • Conduct AFSL health assessments and assist with regulatory submissions.
  • Design strategies for managing Regulatory Change.

Candidate Profile

  • Minimum of 2 years' experience in a compliance or audit role within the financial services advisory sector.
  • Experience with product-related compliance is highly desirable, particularly in financial advice or insurance broking.
  • A willingness to learn new skills and seek clarification when needed.
  • Ability to work independently and efficiently.
  • Proficient 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

  • Collaborate with senior team members on a diverse range of clients, primarily in the advisory and insurance sectors.
  • Opportunities for permanent or advanced compliance roles in the future.
  • Access to a knowledgeable team of compliance professionals.
  • Engage in interesting and challenging work across various compliance areas.
  • Work within a supportive and high-performing team environment.
  • Receive mentorship from experienced compliance staff.
  • Enjoy the flexibility of working from home based on client and team needs.
  • Competitive compensation package.
  • Be part of HPX Group and collaborate with leading professionals in the field.

Application Process

We encourage interested candidates to apply directly for this role. For further information, please refer to our website.