Compliance Review Manager
Consultant Jonathan Berry
Date posted 3 February 2017
Leading bank requires a Compliance Review Manager to conduct files reviews and provide compliance guidance for wealth management advice.
Compliance Review Manager – Wealth Management & Retail Banking – Sydney
A leading bank in Sydney is looking for a Compliance Review Manager to identify and manage compliance risks.
The Compliance Manager will provide compliance guidance for wealth management advice including superannuation, as well as continuing to improve the compliance function.
- Monitoring and reviewing advice and practices in line with regulations and internal policies
- Conducting independent compliance file reviews to assess representatives' compliance with their financial product advice obligations
- Researching and analysing impacts of proposed or actual Legislative updates
- Assisting with internal reviews to monitor compliance with policies and procedures
- Building relationships and working closely with the internal key stakeholders across the group
- Assisting Senior stakeholders in the compliance team on all aspects of the Internal and External Audits, full business reviews, identifying control weaknesses, and implementing measures to address any weaknesses
- Ad-hoc duties as they arise
Suitable candidates will possess:
- 3 years + relevant experience in compliance roles across financial services
- Knowledge of laws and regulations relevant to the wealth management industry (including financial planning, financial advice and superannuation)
- Must have RG146
- Ability to maintain a compliance framework with effective monitoring and compliance training
- Proven track record of working in a team environment
- Degree qualification in business, law or finance related discipline
- Excellent written and verbal communication skills
To apply please click apply or call Jonathan Berry on +61 2 8289 3210 for a confidential discussion.