Senior Operations Specialist

1 week ago

Perth, Western Australia beBeeCompliance Full time $100,000 - $120,000
Compliance Officer Role

This is a highly sought-after opportunity to lead a successful financial services firm as a Compliance Officer.

The ideal candidate will be responsible for the effective day-to-day management of the practice, ensuring adherence to regulatory requirements and maintaining the highest standards of integrity.

  • Audit all documentation to ensure it remains up to date.
  • Oversight of the review process.
  • Assist in reviewing and updating procedures, including research and investment committees.
  • Investigate and report on any complaints.
  • Deal with reporting to regulatory bodies (Gabriel Returns etc).
  • Conduct file checks for business written.
  • Monitor Continuing Professional Development (CPD) for Regulatory Individuals.
  • First point of contact and offer support to Paraplanners and Administrators.
  • Provide guidance to advisers on any issues of compliance.
  • Carry out specific training required (Money Laundering for example).
  • Carry out 1:1s with Advisers, Paraplanners and Administrators.
  • Attend board meetings.

Diploma qualified or working towards.

This role offers a fantastic opportunity for a talented, professional senior operations specialist from a private client wealth management/financial services background to take a highly visible and responsible position in a successful organization and forge a career-defining opportunity.

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