State Compliance Officer
Consultant Matthew Hart
Date posted 24 November 2016
Market leading Financial Services firm requires a State Compliance Officer with 5+ years experience across financial markets & wealth management.
Market leading Financial Services firm requires a State Compliance Officer with 5+ years experience across financial markets & wealth management. The role will involve providing advice, guidance and training to the business in order to satisfy all external and internal regulatory obligations.
The main deliverable be around educating, training and auditing of new and existing branch advisers and managers. The role will include travel around NSW/ACT to visit the branch and adviser network, ensuring compliance with AFSL, ACL and internal policies and procedures.
Major responsibilities include:
- Provide compliance and regulatory education and training to new advisers and branch managers
- Conduct audits from information provided by the Compliance Analysts
- Risk analysis of branch, adviser and business activity
- Promote high standards of compliance with ASIC, ASX and other relevant rules & regulations
- Working with regulators to ensure business compliance
Suitable candidates will possess:
- 5 years + relevant experience across financial markets & wealth management
- Knowledge and experience of equity derivatives and other financial products essential
- Knowledge and experience of financial planning/advice compliance desirable
- Ability to work and make decisions autonomously
- Strong stakeholder management skills
- Degree qualification in business, law or finance related discipline
- Excellent written and verbal communication skills
To apply please click apply or call Matthew Hart on 02 8289 3258 for a confidential discussion.