Advice Compliance Consultant
Contribute to providing a critical focus on regulatory, risk and compliance issues and provide support to the Advice Compliance Manager
Summary about this job
Compliance & Risk
Company: AMP Services Limited
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-2-2758-3506
Fax: +61-7-6919-5887
E-mail: n\a
Site: n\a
Detail information about job Advice Compliance Consultant. Terms and conditions vacancy
Purpose of the role
The Advice Compliance team is responsible for providing a critical focus on regulatory, risk and compliance issues impacting AMP Advice Licensees and ensuring the business delivers on the relevant compliance and risk management obligations, specifically issues management, consequences management, breach reporting, and regulatory interactions.
The team is responsible for managing:
• Issues and consequence management
• Investigation into issues
• Coordinating the operation of the Adviser Issues Panel, Licensee Incidents Panel and Advice Breach Committee
• Oversight of remediation for issues
• Managing Adviser ASIC interactions and requests and interfacing with Regulatory Response team on enforcement notices
• Reporting for the various Boards, Committees and other forums
Role specific capabilities
- Management of the Advice Compliance inbox including allocating requests to appropriate team members
- Involvement in projects and business change initiatives
- Providing support where required to Senior Manager, Regulatory Response
- Co-ordinating the operation of the Advice Breach Committee (scheduling meetings, confirming attendees, minuting meetings and recording actions arising)
Experience required
- Minimum 3 - 5 years practical experience in a compliance, regulatory or legal function in the Financial Services industry
- Proficient use in Microsoft Excel, PowerPoint and Word
- Business analytics
- Sound knowledge of the financial services industry and financial planning environment, preferably relating to financial services and the provision of advice
- Exposure to project management – including planning and implementation of projects/business change initiatives
- Basic understanding of Australian Financial Service Licence and Australian Credit Licence requirements
Qualification/s required
- RG146 (or willingness to complete)
- ADFS / Tertiary qualifications in financial, legal or business disciplines highly regarded
Our Culture
We enjoy a culture that recognises individuality yet encourages collaboration, giving real meaning to our work and making a difference to our people and our customers.
Benefits
Access a great range of benefits such as flexible working options, retail discounts, onsite gym, competitive home loan rates, leading superannuation contribution, discounted financial advice and personal insurance.
Inclusion & diversity
AMP welcomes people with all kinds of life and work experiences. Our individual differences - and collective strength - make for great employee, customer and business outcomes. What unique insights could you bring to the AMP team?