Salary AUD110,000 - AUD125,000 per annum + Super + Bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 18 September 2018 2018-09-182018-10-18 banking 1 Farrer place Sydney 2000 Robert Walters Australia
The Compliance Manager will sit within Enterprise Risk Management which is accountable for our client’s ERM Framework, risk management capability and the provision of high quality advice, insight and support to our business partners.
The Advice Compliance team is responsible for providing a critical focus on regulatory, risk and compliance issues impacting our clients Advice Licensees and ensuring the business delivers on the relevant compliance and risk management obligations, specifically issues management, consequences management, breach reporting, and regulatory interactions.
- Providing support to the Senior Manager (Escalation) and Senior Management, Investigations & Compliance to ensure effective management of Adviser and Licensee issues, management of regulatory interactions, breach escalation and reporting.
- Co-ordinating the operation of the Advice Breach Committee (scheduling meetings, confirming attendees, minuting meetings and recording actions arising)
- Assisting with the preparation of papers for consideration by the Advice Breach Committee
- Monitoring and tracking actions arising from prior meetings
- Providing support where required to Executive Manager, Regulatory Response
- Monitoring and recording incoming Adviser ASIC Notice(s) where required
- Investigating, locating, collating and preparing information required to comply with Adviser ASIC Notice(s)
- Ensuring accurate data / record keeping in relation to Adviser ASIC notices, as required
- Assisting the Advice Compliance Manager (Escalation) with any follow ups or clarifying questions from ASIC after lodgement of response
- +5 years practical experience in a compliance, regulatory or legal function in the Financial Services industry
- Sound knowledge of the financial services industry and financial planning environment, preferably relating to financial services and the provision of advice
- Exposure to project management – including planning and implementation of projects/business change initiatives
- Basic understanding of Australian Financial Service Licence and Australian Credit Licence requirements
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.