Financial Compliance Specialist

4 days ago


Brisbane, Queensland, Australia beBeeCompliance Full time $90,000 - $120,000
About Us

As a national specialist in compliance and risk management, we serve the financial services industry with professional, flexible solutions that meet client needs. Our diverse environment allows professionals to thrive, delivering exceptional results for our clients.

The Role

We seek a casual compliance professional with experience in the financial advice sphere to join our expanding team based in Brisbane on a casual basis. Employment would be dependent on client needs, with assignments ranging from three weeks to twelve months. The primary focus is to perform adviser file reviews and report on findings.

Key Responsibilities
  • Conduct adviser file audits and report on findings and remediation.
  • Prepare compliance reports for boards and committees as required.
  • Develop and update policies and procedures for clients.
  • Act as a compliance resource for clients.
  • Implement compliance programs and monitor ongoing compliance.
  • Review Anti-Money Laundering/Counter-Terrorism Financing (AML/CTF) compliance obligations.
  • Provide ongoing support with compliance obligations.
  • Liaise with auditors and manage annual audit requirements.
  • Assist with reviewing and providing feedback on compliance documents.
  • Review promotional material for compliance with regulations.
  • Monitor ongoing Australian Financial Services Licence (AFSL) conditions of clients.
  • Implement regulatory change.
  • Compliance training.
Areas for Growth
  • Conduct AFSL health checks and assist with AFSL regulatory lodgements.
  • Design solutions for regulatory change.


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