Compliance Manager of Advice - Part Time
Location Melbourne CBDFULL_TIME
Consultant Alex Thompson
Date posted 10 September 2018 2018-09-102018-10-10 financial-services 1 Farrer place Sydney 2000 Robert Walters Australia
This large financial planning and advice business requires a Compliance Manager to take responsibility for the field audits and advisor compliance & remediation programmes. The role will involve creating a framework and providing advice & guidance to the advisers in order to satisfy all external regulatory obligations and internal compliance standards.
The key aspect of these positions is supervising, supporting and leading the compliance program for both salaried and independent financial advisers.
Our client is looking for an individual with solid understanding around the operations of a financial planner and experience in a compliance or advice audit role is essential.
The successful candidate will also be required to coach financial advisers on the quality and compliance of their advice.
Duties will entail -
- Conduct field audits of advisers within the Vic & Tas regions and set out remediation plans where necessary
- Perform RG146 compliance checks for associated dealers
- Auditing SOA's and ROA's
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote legislative and regulatory compliance
- Ensure current knowledge of changes to the Corporations Law and financial planning industry trends is maintained and that this is communicated to advisers
- Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards
- Conducting quarterly compliance meeting
Suitable candidates will possess -
- 3 years + of relevant experience in financial services firm or advisory business
- Experience within compliance or audit function is essential
- Knowledge of laws and regulations relevant to the financial planning industry
- An appreciation of regulatory requirements for an advisor network
- 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 Alex Thompson on 03 8628 2169 for a confidential discussion.