Address
Form of work 12 Month Full-Time Contract
Work-from-home flexibility
Focus on work/life balance
Our client is a global organisation that partners with financial market participants (equities, pension, superannuation, investments, property, etc.) to deliver services and solutions that enhance the user experience and make scaled administration simple. Their Retirement & Superannuation Solutions division combines its proprietary technology, processes, and people to deliver a comprehensive service to its superannuation clients. They support clients across all superannuation fund sectors, including government, industry, retail and corporate.
This role is responsible for ensuring Financial Advisers meet their ongoing compliance obligations. You will be responsible for reviewing advice calls and files whilst conducting formal and informal audits.
The role will be based at the Melbourne office in Docklands, and offers a hybrid working arrangement; with Tuesdays & Thursdays in the office, and Mondays, Wednesdays & Fridays working from home.
Initially this role will be employed as a 12 month full-time contract, with the possibility of extension.
Main Responsibilities:
Complete compliance reviews of financial advice files, including general advice
Regularly monitor advice call recordings as part of the compliance audit requirements and as instructed by the Compliance Manager
Prepare regular reports (e.g. for Board reporting, Risk and Compliance Committee Meeting, Compliance Letters sent to client funds)
Handle and report any identified incidents on the incident reporting software
Liaise and work with compliance and management teams
Assist team members with other risk management and compliance tasks as required
Ensure adherence to legal and regulatory requirements
Support assurance programs that deliver effective risk management and compliance practices
Requirements:
Experience in the financial planning industry
Educational qualifications in Financial Services
Sound knowledge of the Financial Services regulation in Australia and relevant laws
Ability to work unsupervised
Well-developed communication skills, written and verbal
Resilient, adaptable and culturally sensitive team player
High attention to detail and accuracy
Effective time management and organising skills
Have a collaborative approach when working with stakeholders
If you are interested in hearing more about this fantastic opportunity please APPLY today!
