Senior Compliance Officer
Financial Services company well known for their fantastic culture are looking for a Senior Compliance Officer on a permanent basis Established and successful Financial Services company with excellent brand perception. Continuing on it's growth trajectory the company is a great place to thrive and grow your career. Excellent management structure with a good work culture in a professional environment.
The Senior Compliance Officer is to ensure continued compliance with applicable legislation, as well as its RSE licence, and to maintain, monitor, and improve the compliance program, assist in delivering effective compliance training, and provide commercially sound compliance advice to the business. Key Responsibilities: Continue to implement a compliance program in consultation with the Manager Compliance, through compliance self-assessments, compliance policies and procedures. Monitor and test compliance self assessment responses and update as required due to legislative and procedural changes Undertake Compliance reviews of advice representatives across the Advice Centres, including reviewing Statements of Advice and other relevant documentation.
Assist with monitoring, review and testing of quarterly Control Self Assessments for the Advice Centres. Assist with the assessment and reporting of breaches and incidents Assisting in the assessment, review and proposed follow up actions for all advice related incidents and breaches, as well as other incident and breaches where required Sign off on SoA templates, seminar / workshop material, FSGs, calculators, other advice related communication materials and the representativesâ€™ manual as required. Assist in the design of, and provide a range of monthly and quarterly reports for the Executive Team, Risk Management Steering Committee and the Audit, Compliance and Risk Management Committee.
Key Criteria: At least 3 yearsâ€™ compliance experience working in the financial services industry. Previous experience as a Financial Planner/Advisor Highly developed written and verbal communication. RG146 qualified or working towards Diploma of Financial Planning.
CFP qualification is also highly desirable For more information regarding the role give Andy Slater a call 03 9982 8486.