Compliance Advisory Professional
2 weeks ago
Key Responsibilities
The successful candidate will be responsible for supporting the development and enhancement of comprehensive compliance frameworks and policies, and processes. This involves collaborating with various stakeholders to maintain the obligations register for the company, including identifying obligation ownership and working with relevant teams to implement effective monitoring mechanisms.
Additionally, they will undertake activities related to conflicts management, assist in managing and maintaining appropriate financial services and trustee licensing and authorisations, and manage fit and proper requirements, including assessments of persons in regulated roles.
They will also be responsible for providing advisory support to assess adherence to organisational policies and regulatory obligations, and driving continuous improvement initiatives within the Compliance function.
Requirements
- Experience in a similar role in regulatory compliance or legal areas with experience in the Australian financial services industry preferred.
- Excellent communication and presentation skills.
What makes you stand out
- In-depth knowledge and understanding of regulatory obligations in respect of superannuation, investments, administration, financial advice or insurance broking.
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