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Regulatory Compliance Specialist

2 months ago

Brisbane, Queensland, Australia HPX Group Pty Full time

About HPX Group Pty

HPX Group Pty is a leading provider of Compliance and Risk Management solutions, primarily serving the financial services sector. We are dedicated to delivering professional, adaptable, and results-oriented services that evolve with our clients' needs.

Our organization thrives on a strong 'people experience' (PX), which we believe enhances the overall 'client experience' (CX). We are committed to fostering a culture that prioritizes purpose and values-driven leadership, focusing on both personal and professional growth.

In essence, our workplace environment empowers our employees to excel, enabling them to perform at their best and ensuring client satisfaction. We are a diverse group of professionals seeking an enthusiastic and proactive individual who embraces variety and is willing to take initiative.

Position Overview

We are looking for a Compliance professional on a casual or contract basis with expertise in the financial advisory sector to become part of our growing team.

The casual role will depend on client requirements, with assignments ranging from a few weeks to several months, primarily focused on conducting adviser and broker file reviews and reporting the outcomes.

In this role, you will work both independently and collaboratively, providing compliance services to various Financial Services organizations while supporting fellow compliance professionals in your area of expertise.

Key Responsibilities

  • Perform adviser file audits and document findings along with necessary remediation actions.
  • Draft 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 and legislation.
  • 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 Development

  • Conduct AFSL health assessments, assist with AFSL regulatory submissions, and prepare AFSL variations and updates of essential documentation.
  • Design strategies for Regulatory Change.

Ideal 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 valued, particularly in financial advice, General Insurance Broking, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management, and/or IDPS/investment platforms.
  • A willingness to learn new skills, take initiative, and ask questions when uncertain.
  • Ability to work independently and efficiently.
  • Intermediate proficiency in Microsoft Office applications.
  • Exceptional written and verbal communication skills.
  • Strong client and stakeholder relationship management capabilities.
  • Organized, with the ability to multitask and prioritize effectively.

Benefits of the Role

  • Collaborate with a senior team member on a diverse range of clients, primarily in the advisory and insurance broking sectors, with potential for expansion.
  • Opportunities for permanent or advanced compliance roles in the future.
  • Access to a collective knowledge base of 10 compliance professionals.
  • Engage in interesting and challenging work across multiple compliance areas.
  • Be part of a collaborative and high-performing team environment.
  • Receive mentorship from senior compliance staff who are leaders in their field.
  • Work independently while having ample support when needed.
  • Contribute to the development of innovative compliance service delivery methods.
  • Enjoy flexible working arrangements, including the possibility of remote work based on client and team needs.
  • Receive competitive remuneration.
  • Become part of the HPX Group and collaborate with Hamilton Locke, a rapidly growing law firm in Australia.

Application Process

We prefer to engage directly with candidates. If you are interested in this opportunity, please click the 'Apply' button or reach out to the consultant for further information.

For additional details about HPX Group Pty, please visit our website or follow us on LinkedIn.