Insurance Regulatory Expert

6 days ago

Brisbane, Queensland, Australia beBeeCompliance Full time $90,000 - $120,000
Compliance Specialist Role

We are seeking a highly skilled and experienced Compliance Specialist to join our team. As a key member of our organization, you will play a vital role in maintaining regulatory standards and internal policies.

The ideal candidate will have at least 3 years' experience within a general insurance brokerage business and possess Tier 1 insurance broking accreditation. They should also have exceptional written and verbal communication skills, as well as an understanding of compliance review processes, risk, and compliance principles and frameworks.

Key Responsibilities:
  • Monitor and interpret changes in applicable regulations, including the Corporations, Insurance Contracts and ASIC Acts, and assess their impact on our business.
  • Support the implementation and maintenance of compliance policies, procedures, and controls.
  • Conduct 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, remediation, and required training and education.
  • Assess adherence to best interest duty, product suitability, and appropriate management of conflicts of interest.
  • Implement 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.

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