Senior Consultant (Advice, Compliance)
Location Melbourne CBDFULL_TIME
Consultant Damien Carton
Date posted 26 April 20192019-04-29 2019-05-26 financial-services 1 Farrer place Sydney 2000 Robert Walters
Manage a functional area or a collection of related activities to achieve identified objectives. Employees at this Group would be expected to provide advice for a variety of diverse tasks or problems base on the application of judgement in their area of expertise/responsibility.
- Assisting with implementing and managing an advice monitoring and supervision framework that ensures that the interests of our clients are protected.
- managing the monitoring activity across advice including the KRI's, file reviews and other risk metrics.
- Keeping up to date on regulatory developments and industry trends/best practice as it relates to advice.
- Ensuring that the Advice business has appropriate policies, training and collateral.
- Assisting the Advice business with the management of complaints.
- 5+ years advice related audit or compliance experience working in a similar business or industry ( experience in a large and complex organisation will be well regarded)
- relevant degree and industry qualifications that relate to advice licensees
- understanding of the requirements relating to the provision of advice
- understanding the practices and requirements of ASX and ASIC
- ability to challenge,manage and communicate with stakeholders
- self-motivated, calm and resilient
To apply please click apply or call Damien Carton on 03 8628 2104 for a confidential discussion.