AddressAbout Us
Source Compliance, part of the HPX Group, is a National specialist Compliance and Risk Management provider in the financial services and broking industries. We offer our clients professional, flexible and outcome driven solutions that adapt with their business.
Our businesses are powered by our ‘people experience’ (PX), and we believe this delivers the best possible 'client experience' (CX). This means we are culture-led, operating with a clear purpose and values-driven leadership model, prioritising personal and professional development.
Put simply, our environment allows our people to be the best version of themselves, which enables them to do their best work, and ultimately makes our clients happy. We’re a diverse professional services group, and are looking for someone who is enthusiastic, proactive, happy to give things a go and appreciates variety.
The role
We are looking for a Compliance Professional to join our team based in Brisbane reporting to Jenny Mulders, a well-respected professional in the field. Working both autonomously and within a team environment, you will be responsible for providing compliance services to a range of Financial Services organisations and supporting other team members. Your ability to effectively review, advise and successfully implement Compliance Programs is essential.
This is a client facing role and your ability to effectively interact with various levels within the clients is an important aspect.
Some of the functions you may be involved in include:
- Act as the internal Compliance Manager or Officer for clients of Source Compliance
- Implement compliance programs and manage the ongoing monitoring
- Monitoring of ongoing AFS Licence conditions of the clients - including maintaining records, training and financial requirements
- Conduct AFSL Health checks and annual compliance reviews of regulated entities
- Conduct AML/CTF Reviews, primarily in the financial services industry
- Prepare and provide ongoing compliance training to meet legislative requirements to clients
- Prepare tailored policies and procedures for clients and provide assistance with the review and maintenance of those policies and procedures on an ongoing basis
- Prepare and present compliance reports to Boards and Committees as required
- Review marketing materials for compliance with relevant regulations and legislation
- Liaise with auditors at half year, and Annual Audit management
- Verification and due diligence of Product Disclosure Statements (PDS) and Information Memorandums (IM)
- ASIC protocol reference checking
- Assistance with the regulatory lodgements in relation to the AFSL requirements
- Prepare and assist with AFSL Variations and update of key proof documentation
- Keeping abreast of regulatory changes and updating clients as required
- Provide support to the broader team on ad hoc items such as complaints management and breach remediation
We’re looking for someone:
- With proven compliance skills, ideally with experience of managed accounts, financial advisory and/or funds management business
- With expert and detailed knowledge of the financial services regulatory landscape
- With experience in retail financial advice compliance an advantage
- Experienced in identifying risks and implementing controls
- Experienced in the ASIC Regulatory environment
- Able to review and implement regular compliance reporting to Compliance Committees and Board of Directors
- Intermediate with Microsoft Office products
- Excellent communication skills
- Strong client / stakeholder relationship management and development abilities
- With strong integrity and a high standard of professional ethics
- Who wants to work in and contribute to a fantastic team culture; and
- With a commercial and innovative mind-set
What’s in it for you
- Work in a team environment managing a diverse pool of clients
- Have access to the knowledge pool of 10 other compliance professionals
- Interesting and challenging work in all areas of Compliance
- Work with a great team in a collaborative and high performing team environment
- Being mentored by senior compliance executives at the forefront of their profession
- Work autonomously and collaboratively
- Be at the forefront of developing new ways of providing compliance services.
- Flexible working conditions – ability to work from home/remotely dependent on client and team commitments.
- Competitive remuneration.
- People experience programs like the Da Vinci Program (get an extra weeks’ leave after completing a personal development activity) and the Adventure Club (2024 trips to Queenstown, Darwin or Hobart)
- Full day for birthday leave
- Be part of the HPX Group and work alongside Hamilton Locke, Australia's fastest growing law firm
- Support in building client relationships and growing your own area of expertise within a professional services business.
How to Apply?
We prefer to work directly with candidates, if you are interested in this role, please click the ‘Apply’ button or contact the consultant, details below, for more information.
Please provide a cover letter, detailing your suitability and skills which you could contribute to this position.
Agency submissions
HPX Group does not accept agency submissions unless the agency is specifically contacted by a member of the Recruitment Team. Please do not forward candidate profiles or resumes to partners, hiring managers or other employees - this will not constitute as an introduction to the firm and Halo Group will not be liable for a fee.
