Compliance & Risk (Banking & Financial Services) Full time Source Compliance, part of the HPX Group, is a National Specialist Compliance and Risk Management provider, primarily to the financial services industry. We offer our clients professional, flexible, and outcome-driven solutions that adapt with their business.
We are looking for someone with Compliance experience in the financial advice field to join our team based in Brisbane. This role will sit in the already established management structure.
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 compliance professionals within your specialisation.
The primary focus of this role includes: Conduct adviser file audits and report on findings and appropriate remediation.Provide input into compliance reports for Boards and Committees as required.Prepare and update tailored policies and procedures for clients.Assist with reviewing and feedback on compliance documents including FSGs, SOAs and Client Engagements.Review compliance with ongoing consent requirements.Act as a compliance resource for clients.Review client AML/CTF compliance obligations.Provide ongoing support with compliance obligations.Other Responsibilities May Include: Implement compliance programs and manage the ongoing monitoring.Liaise with auditors and annual audit management.Review promotional material for compliance with relevant regulations and legislation.Monitoring of ongoing AFS Licence conditions of the clients.Implementation of regulatory change.Compliance training.Minimum Requirements: 2+ years' experience in a compliance (or audit) role, within the advice financial services industry.Product related compliance experience will be highly regarded, especially in financial advice, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management and/or IDPS/investment platforms.Excellent written and verbal communication skills.Experience with advice software solutions preferred but not essential.Ability to work autonomously and efficiently.Intermediate level or above of experience with Microsoft Office products.Strong client/stakeholder relationship management.Organised and comfortable multi-tasking and prioritising.What's In It For You: Work jointly with other team members managing a pool of clients that are primarily advice and insurance broking firms.Pathways to more senior compliance roles in the future.Access to the knowledge pool of our existing compliance professionals.Interesting and challenging work in all areas of Compliance.Work with a great team in a collaborative and high-performing environment.Flexible working conditions – ability to work from home dependent on client and team commitments.Accessibility and Inclusion: At Source, our culture is made up of unique backgrounds and varying life experiences. We celebrate our people's differences across gender, gender identity, sexual orientation, age, ability, cultural backgrounds, and family and caring arrangements.
How to Apply? If you are interested in this role, please click the 'Apply' button or contact the consultant for more information.
For more information on Source Compliance, please visit sourceservices.com.au or follow us on LinkedIn.
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