Address
Form of workJS Careers is currently sourcing a Markets and advice compliance professional for a leading Private Wealth & Stockbroking firm in Australia.
Suitable candidates must possess Markets and/or financial advice compliance experience.
Duties will include:
- Work alongside a team of compliance professionals to ensure compliance with applicable obligations;
- Be a subject matter expert in respect of the provision of compliant financial product advice;
- Provide advice and guidance to the business promoting the provision of compliant financial product advice to both retail and wholesale clients;
- Lead projects and initiatives to uplift the quality of advice (and advice documentation);
- Liaise with regulators and key industry bodies;
- Review financial planning SOAs and provide guidance/support to leadership;
- Work closely with advisers and their support staff to ensure compliance with regulatory obligations, including answering ad hoc queries as they arise;
- Present seminars, small roundtable sessions, and ‘one on one’ training on advice preparation, advice-related regulatory issues or other relevant topics.
Suitable candidates must possess:
- Tertiary qualifications in law, commerce, finance or other relevant discipline;
- Specialist knowledge of stockbroking, Wealth Management, funds management and financial services-relevant regulations;
- Prior experience in a stockbroking, Wealth Management or financial planning business;
- Operational risk experience including framework design and implementation; and
- Strong understanding of exchange traded products, including equities, derivatives and listed funds.
Please reach out to Jacob Smith on ***********@jscareers.com.au with any questions.
