Financial Advice Compliance
Salary AUD80,000 - AUD110,000 per annum + Super + Bonus
Location Sydney CBDFULL_TIME
Consultant Ealah Ben-David
Date posted 14 February 2019 2019-02-142019-03-07 banking Sydney CBD New South Wales AU AUD 80000 110000 110000 YEAR Robert Walters https://www.robertwalters.com.au
The role is to provide a critical focus on regulatory, risk and compliance issues impacting the companies Advice Licensees. The Advice Auditor would conduct desk based audits and support the audit framework to provide superior planner risk and compliance services to licensees ensuring high quality advisory audit services through regulation and supervision of planner practices.
• Conduct desk based audits, ensuring audits are conducted within specified timeframes, ensure breaches are reported and action undertaken
• Investigate risk issues arising in Adviser Practices across the countries
• Support the Audit manager to ensure audit materials including standards, questionnaires and auditor guides are maintained
• Strong financial advice experience - ideally paraplanning background
• Strong knowledge and understanding of ASIC Regulatory Guides and relevant legislation
• Strong stakeholder engagement skills
This is a permanent role in Sydney CBD.
To apply please click apply or call Ealah Ben-David on 02 8289 3166 for a confidential discussion.