Compliance & Risk (Banking & Financial Services) Full time Reporting into the Head of Compliance and working as part of a small cohesive team based in Melbourne and Sydney, the Compliance Officer will provide general support to the Compliance Department and assist with meeting the regulatory needs of Ord Minnett.
This exciting opportunity would suit someone with an equity/operations background who is looking to develop or diversify their skills set, or a professional pathway through their degree. On-the-job training will be provided in all facets of regulatory requirements and over the course of your employment you will become familiar with the relevant legislative requirements.
Primary Responsibilities Investigation of compliance issues and assisting in conducting surveillance reviews of both the front and back office activitiesResponding to internal and external queriesDay to day compliance activity managementAssisting in the compilation of responses to regulatorsComplaints handlingAML matters and AUSTRAC reportingMaintenance of registersMaintaining training registers including FASEA training requirements for AdvisersAbout You With analytical skills and client service as key attributes, you'll fit well in this busy environment. Ideally you understand (or have a keen desire to learn) the basics of stockbroking and have previous experience or knowledge of financial services compliance. You will be nearing completion or hold a university qualification in Law, Accounting, Finance, Commerce or similar. The role will suit an analytical and lateral thinker who enjoys solving problems whilst displaying strong interpersonal skills, allowing you to build relationships with stakeholders.
About Us Ord Minnett is a leading wealth management group providing advice and tailored investment solutions including full-service stockbroking, financial planning, funds management and portfolio services. With corporate origins dating back to 1872, Ord Minnett is a highly respected name in the Australian investment landscape.
Your application will include the following questions:
Which of the following statements best describes your right to work in Australia?How many years' experience do you have as a compliance officer?What's your expected annual base salary?What's your highest level of education? #J-18808-Ljbffr