Compliance Associate / Officer

About us

Compliance Plus specialises in providing AFSL holders in the SME space with customised integrated risk and compliance solutions. We deal with clients ranging from financial planners, fund managers, corporate advisors to responsible entities and general insurance brokers. We work closely with our clients to help them maintain their compliance and risk framework as well as liaise with the various regulators on behalf of the clients.

Qualifications & experience

• This role will suit someone who has financial services or legal background ideally having worked either with AFSL compliance or at least in an AFSL environment before and minimum of 2 years preferred. Candidate will need to have the ability to work across different business clients.
• A bachelors qualification or equivalent in commerce or law is preferred

Tasks & responsibilities

• Assist clients with ongoing maintenance of their AFSL's which include delivery of compliance services, assist with completing policy reviews, document preparation/review, communicate and train on regulatory changes.
• Liaise with clients on compliance meeting tasks. Some general admin with meeting bookings and preparation of compliance meeting documents.
• Assist clients with maintaining the online compliance system (client portal) which includes maintaining registers, tasks, and workflows.
• Complete and Liaise with regulators on lodgements of application forms and general lodgements.
• Project based work for AFSL application and variations.
• Communicate with clients and maintain client relations. Work closely with the clients to ensure their compliance is seamlessly embedded into their business procedures

Benefits

• This role will suit candidates looking at workplace flexibility (work from home during work hours) and seeking a part time role of approximately 20-25 hours per week.
• The role allows the candidate to grow and learn about the compliance framework across many different businesses and progress further to a consultant role.
• Candidates from WA required.