Senior Compliance Officer - Financial Planning
A high-profile Financial Services & Advisory Firm is looking for financial planning professionals to carry out compliance & quality assurance duties
Summary about this job
Financial Planning
Company: iKas International Australia
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-7-1238-8328
Fax: +61-2-6486-5273
E-mail: n\a
Site: n\a
Detail information about job Senior Compliance Officer - Financial Planning. Terms and conditions vacancy
The Organisation
Our client is one of the fastest growing boutique asset manager with a national presence, offering products across corporate & institutional, wholesale and retail. Becoming a vital part of the highly experienced Legal & Compliance team, you will closely support and learn from senior executives and various department heads.
The Role
- Be the primal assistant to the Head-of’s, manage a variety of matters across compliance, legal and professional standards
- Perform both sample and deep-dive client file review, meet and greet advisors and maintain professional working relationships
- Perform risk grading for clients, draft policies and procedures
- Be responsible for the ongoing testing, monitoring and refinement of the Compliance Program
- Identify key risk areas across the firm’s business divisions and implement remedial plans
- Facilitate compliance workshops and board presentations
- Quality assure the operational and professional standards for the business
- Respond to regulatory queries as they arise
The Requirements
- 2+ years’ experience in a compliance, risk management and quality assurance function in Financial Services
- Tertiary degree in Commerce, Finance or Business Administration related; Legal qualification is a plus
- Strong Financial Markets knowledge, particularly in Wealth Management, Financial Planning with exposure to WRAP platform
- Prior paraplanning and/or advice remediation experience is highly looked upon
- Motivated self-starter, who work well under pressure in a small team
If this position interests you, please submit a WORD version of your CV via the 'Apply' button. Or for further information please contact Eugena Gong at [email protected], quoting reference ARC_CM2.
iKas International (Australia) Pty. Ltd. is providing recruitment services for this role.
"Personal data collected will be used for recruitment purposes only."