Advice Auditor - Location flexible!
Our Financial Advice Audit team is growing! Great leadership team, busy and exciting time to be joining us. Make a difference!
Summary about this job
Compliance & Risk
Company: AMP Services Limited
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-3-3139-9401
Fax: +61-8-2083-8840
E-mail: n\a
Site: n\a
Detail information about job Advice Auditor - Location flexible!. Terms and conditions vacancy
Working for AMP means working for a company that empowers its people to make a difference, while providing the support of a highly talented, experienced team. We understand that it is our customers that make us great. And because people achieve their best in different ways, our culture is flexible and supportive, to give you the freedom to focus on outcomes rather than just processes.
We've grown and changed over the decades, however for more than 160 years we've dedicated ourselves to one thing – our unwavering sense of purpose to help people own their tomorrow.
About the role
AMP's Audit team provides a critical focus on regulatory, risk and compliance issues impacting AMP Advice Licensees. Auditors conduct field-based audits and support the audit framework to provide superior planner risk & compliance services to our extensive network nationally.
Duties
- Delivery of the adviser audit program by completing adviser quality reviews, providing accurate feedback, and timely written reports to advisers within the AMP Licensees.
- Investigate risk issues arising in Adviser Practices across the country or from thematics provided to audit for investigation.
- Proactively identify opportunities for improvement to the supervision and monitoring program.
- Foster strong and collaborative relationships with key stakeholder groups nationally, both internal and external to the business.
Skills & experience
Ideally, we are looking for candidates with:
- Sound knowledge of the financial services industry and financial planning industry and practice
- Sound knowledge and understanding of ASIC Regulatory Guides, Corportations Act, AUSTRAC expectations and other relevant legislation.
- Practical knowledge of compliance and risk management practice in a corporate context
- Strong interpersonal skills with the ability to work across business units, as well as proven high level communication skills, both written and verbal.
- Ideally 3 years practical experience in a legal, regulatory or compliance function in the Financial Services industry
- Sound knowledge and understanding of the Financial Services/Planning Industry compliance processes and the ASIC Code of Practice, Corporations Act etc.
- Advanced Diploma of Financial Services (ADFS)
- Cert IV in Mortgage Broking (preferred but not mandatory)
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?