Compliance Manager

1 week ago

Melbourne, Victoria, Australia hmh Advisory Full time $80,000 - $120,000 per year

Compliance Manager

hmh Advisory is a growing professional services firm employing 55 staff in accounting and financial services in Melbourne's eastern suburb of Mont Albert.  The Financial Services division has been self-licenced since December 1986 offering a full suite of holistic investment and strategic advice, with a core focus in superannuation and investment advice.  The Accounting division established in 1977 offers audit, tax and business services to not for profits, small-to-medium sized business and high net wealth individuals.

Our culture centres on our staff, work/life balance and providing high quality service to our clients.

The opportunity:

We require a compliance manager to action our regulator obligations and support our advisers and accountants in their day-to-day activities.  Primarily working in our financial services division, you will have the support of a legal and audit firm who provide an implementation framework for certain compliance functions.

Key responsibilities and requirements:

  • Take the role of Responsible Manager for Financial Services Division
  • ASIC and AUSTRAC reporting
  • Pre-vetting of Statements of Advice and arranging annual file audits.
  • Spot checking of financial adviser's advice
  • Overseeing and monitoring of financial advisers and possibly accountants' CPD requirements
  • Where applicable, the onboarding and oversight of a financial adviser's professional year
  • Ensuring our various policies remain up to date and meet prevailing standards
  • Assist financial advisers with compliance queries
  • Be knowledgeable on Statement of Advice requirements
  • Liaising where appropriate with our compliance support network which includes a legal and audit firm.
  • Maintain our Wholesale Client register.
  • Remain up to date and implement any legislative, regulatory or recommend best practice changes.
  • Attend monthly board meetings and report.
  • Attend ongoing education relevant to the role.
  • Attend and present to internal risk committee on various allocated tasks
  • Maintain various compliance registers
  • Promote a compliance and ethical culture amongst the firm

Skills & Experience

  • Good relationship and client management skills with the ability to work both autonomously and as part of a team
  • Possess a balance between the technical knowledge and capability required to perform in the role coupled with communication, interpersonal and leadership skills
  • Have experience in a financial services compliance or audit background.
  • Understanding of financial planning education requitements

What's on Offer?

  • A competitive salary based on experience
  • Flexible working arrangements (part-time hours if preferred by the candidate will be considered).
  • Employee Assistance Program

Please ensure you provide a cover letter telling us why you are the ideal candidate for the role.

Applicants will be required to undertake police and basic credit checks as a condition of employment.

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