About 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 ComplianceImplement compliance programs and manage the ongoing monitoringMonitoring of ongoing AFS Licence conditions of the clients - including maintaining records, training and financial requirementsConduct AFSL Health checks and annual compliance reviews of regulated entitiesConduct AML/CTF Reviews, primarily in the financial services industryPrepare and provide ongoing compliance training to meet legislative requirements to clientsPrepare tailored policies and procedures for clients and provide assistance with the review and maintenance of those policies and procedures on an ongoing basisPrepare and present compliance reports to Boards and Committees as requiredReview marketing materials for compliance with relevant regulations and legislationLiaise with auditors at half year, and Annual Audit managementVerification and due diligence of Product Disclosure Statements (PDS) and Information Memorandums (IM)ASIC protocol reference checkingAssistance with the regulatory lodgements in relation to the AFSL requirementsPrepare and assist with AFSL Variations and update of key proof documentationKeeping abreast of regulatory changes and updating clients as requiredProvide support to the broader team on ad hoc itemssuch as complaints management and breach remediationWe're looking for someone: With proven compliance skills, ideally with experience of managed accounts, financial advisory and/or funds management businessWith expert and detailed knowledge of the financial services regulatory landscapeWith experience in retail financial advice compliance an advantageExperienced in identifying risks and implementing controlsExperienced in the ASIC Regulatory environmentAble to review and implement regular compliance reporting to Compliance Committees and Board of DirectorsIntermediate with Microsoft Office productsExcellent communication skillsStrong client / stakeholder relationship management and development abilitiesWith strong integrity and a high standard of professional ethicsWho wants to work in and contribute to a fantastic team culture; andWith a commercial and innovative mind-setWhat'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 professionalsInteresting and challenging work in all areas of ComplianceWork with a great team in a collaborative and high performing team environmentBeing mentored by senior compliance executives at the forefront of their professionWork autonomously and collaborativelyBe 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 leaveBe part of the HPX Group and work alongside Hamilton Locke, Australia's fastest growing law firmSupport 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.
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 HPX Group will not be liable for a fee.
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