Compliance Coordinator

2 days ago

Perth, Western Australia Capital Partners Consulting Pty Ltd Full time $60,000 - $90,000 per year
Join Capital Partners as a Compliance Support and Coordinator

Are you passionate about compliance and keen to make a difference in a leading financial planning firm? We're looking for a proactive, detail-oriented Compliance Support professional to join our award-winning team at Capital Partners. In this role, you'll play a key part in supporting the management of our Australian Financial Services Licence (AFSL), ensuring we meet all regulatory obligations and industry best practices.

This is an excellent opportunity for someone looking to specialise and grow their career in compliance within financial services.

WHO WE ARE AT CAPITAL PARTNERS

Recognised Industry Leaders:

Capital Partners has been named the FAAA's Professional Practice of the Year for 2024 (and previously in 2017, We're the only financial practice in Australia to achieve this more than once

Award-Winning Culture:

Ranked #3 in Best Places to Work in Australia (WRK+ Program), we believe happy, healthy clients are served by a happy, healthy team.

Commitment to Excellence:

We are the only CEFEX Certified Firm in Western Australia, conforming to the Global Standard of Fiduciary Excellence.

WHY YOU'LL THRIVE WITH US
  • Be part of a company where every team member's voice is valued, and collective success is a shared goal.
  • Enjoy an inclusive, inspiring, and empowering environment.
  • Benefit from ongoing training and professional development.
  • Work closely with experienced compliance and financial services professionals.
WHY THIS ROLE COULD BE PERFECT FOR YOU

Join us in our West Perth office, where your compliance expertise will shine. You'll support our team in maintaining the highest standards of regulatory compliance and operational excellence.

Key Responsibilities:

  • Assist in the ongoing management and maintenance of the company's AFSL.
  • Monitor regulatory changes and ensure timely implementation of compliance updates.
  • Maintain compliance registers, policies, and procedures.
  • Support internal audits and risk assessments.
  • Prepare and submit regulatory reports and notifications (ASIC, AUSTRAC, etc.).
  • Coordinate compliance training and awareness initiatives for staff.
  • Respond to compliance queries and provide guidance to internal stakeholders.
  • Assist with incident and breach reporting, and manage remediation actions.
YOUR WINNING FORMULA
  • Strong understanding of AFSL obligations and the Australian financial services regulatory environment.
  • Ability to educate and facilitate team training sessions.
  • Excellent organisational and time management skills.
  • High attention to detail and accuracy.
  • Strong written and verbal communication skills.
  • Ability to interpret and apply regulatory requirements.
  • Proficiency in Microsoft Office Suite (Word, Excel, Outlook).
  • Discretion and professionalism in handling confidential information.
EXPERIENCE & QUALIFICATIONS
  • Previous experience in a compliance, risk, or regulatory support role within financial services.
  • Experience supporting AFSL compliance (preferred).
  • Familiarity with ASIC and AUSTRAC reporting requirements.
  • Exposure to compliance management systems and frameworks.
  • Tertiary qualification in Law, Finance, Business, or a related field (desirable).
  • Relevant industry certifications (RG146, GRC, etc.) are advantageous.

Ready to make a significant impact and grow your compliance career?

Include a cover letter with your application and let us know why you're passionate about compliance in financial services.

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