Ifa Office Manager/Compliance Officer

1 week ago

Perth, Western Australia Idex Full time

This represents a superb opportunity to join a successful IFA firm.
Their core beliefs are treating clients, staff, product providers and business partners honestly, professionally and with integrity.

The partners are now looking for a talented individual to assume overall responsibility for the effective day to day running of the practice.

**Responsibilities**:

- Audit all documentation that they use to ensure it is up to date
- Oversight of the review process
- Assist in checking/updating all procedures, including research, investment committee
- Investigate and report on any complaints
- Deal with Reporting to the FCA (Gabriel Returns etc)
- Carry out file checks for business written
- Monitor CPD for R.I.s
- First point of contact and offer support to the Paraplanners and Administrators
- Give guidance to advisers on any issues of compliance
- Carry out any specific training required (Money Laundering for example)
- Carry out 1:1s with Advisers, Paraplanners and Administrators
- Attend board meetings

**Qualifications**:
Diploma qualified or working towards

This is a fantastic opportunity for a talented, professional senior operations professional from a private client wealth management/IFA background to take a highly visible and responsible role in a successful business and forge a career defining opportunity.

Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

**Our Diversity, Equity and Inclusion Mission**

At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

  • Compliance Officer

    1 week ago

    Perth, Western Australia Thales Group Full time

    At Thales, we know technology has the ability to make our world more secure, sustainable, and inclusive - and that it's all driven by human intelligence.Because it takes human intelligence to build and power the systems and solutions that people depend on every day. So we stay curious and make space for diverse points of view. We share what we know and we...

  • Compliance Officer

    4 days ago

    Perth, Western Australia Thales Full time

    At Thales, we know technology has the ability to make our world more secure, sustainable, and inclusive - and that it's all driven by human intelligence.Because it takes human intelligence to build and power the systems and solutions that people depend on every day. So we stay curious and make space for diverse points of view. We share what we know and we...

  • Compliance Officer

    7 days ago

    Perth, Western Australia Crown Perth Full time

    **Compliance Officer - Crown Perth**- At Crown, our overall success is achieved through a combined team effort, therefore we strive to provide opportunities for our employees to learn, grow and thrive in a positive and supportive work environment which embraces diversity and inclusiveness. It is expected that employees always demonstrate company core values...

  • Compliance Officer

    6 days ago

    Perth, Western Australia Wyn&Co Full time

    Our client has provided cutting-edge communication technology solutions, within the mining and construction sectors for the last 20 years across Australia. Currently they are looking for an experienced Compliance Officer, to join there WA business.You will be responsible for implementing and managing comprehensive compliance programs. Programs that ensures...

  • Compliance Officer

    6 days ago

    Perth, Western Australia Dnata Catering Full time

    **Do you want a high-flying corporate career working for the world's largest air services provider, based in Perth?**We are seeking an experienced professional to join our Perth team as** Compliance Officer - Aviation**, on a **full time** basis (12-month fixed term contract)**.**Reporting to the Business Manager and working closely with the National...

  • Compliance Officer

    3 days ago

    Perth, Western Australia Quantum Human Resources Full time

    **Our Client's Story**Buurabalayji Thalanyji Aboriginal Corporation (BTAC) is the registered native title body corporate for the Thalanyji People (PBC).Since 2008, BTAC has successfully advanced and promoted the wellbeing of the Thalanyji People and self-reliantly provides environmental, social, economic education and employment opportunities that support...

  • Quality & Compliance Officer

    7 days ago

    Perth, Western Australia St Jude'S Group Full time

    **Title**:Quality & Compliance Officer**:- Date: 5 Dec 2024- Location: Bicton- Business Unit: St Jude's Group**St Jude's has been one of the more innovative and leading service providers for people with disability and psychosocial needs in Australia since 1982. In recent times, our organisation has been experiencing substantial growth as a direct result of...

  • Compliance Officer

    1 week ago

    Perth, Western Australia Serco Full time

    **Work options**: Hybrid**Serco is a place where you can grow**Join a team of 12,000+ professionals across Asia Pacific (APAC) and experience a workplace that offers challenge, opportunity, and reward.We offer room for you to grow and flexible benefits to suit every stage of your career, including:- A supportive, collaborative team culture- Career...

  • Compliance Officer

    1 week ago

    Perth, Western Australia Breight Group Full time

    Attractive remuneration package- Opportunity to join an innovative and well-established company- New office premises with gym and personal training sessionsDue to significant growth we are seeking an experienced Compliance Officer to join our energetic, fast paced and highly motivated team.**About the Role**:Reporting to the Resource Manager, this role will...

  • Risk & Compliance Officer

    7 days ago

    Perth, Western Australia Hays Full time

    Risk and Compliance Officer**Your new company**This non-for-profit community housing organisation prides itself on making a difference to people's lives, with their primary objective being the delivery of housing and associated services across WA.**Your new role**The Risk & Compliance Officer ensures this organisation's integrated risk and compliance...