Senior Manager, Investigations & Compliance
Sydney Location, great team!
Summary about this job
Analysis & Reporting
Company: AMP Services Limited
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-2-7818-9233
Fax: +61-3-6256-5336
E-mail: n\a
Site: n\a
Detail information about job Senior Manager, Investigations & Compliance. 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
The purpose of the Advice Compliance team is to provide a dedicated first line risk and compliance function to complete oversight monitoring and supervision activity for all AMP Advice licensees.
Duties
- Applying AMP Advice issues and consequences management framework.
- Identifying adviser risk profile and ensure that plans are in place to address risk and compliance matters impacting the Licensees.
- Analyse the Licensee impact from investigations including escalation to the Licensee Incident Panel where appropriate.
- Preparing a case summary on high risk adviser issues and present the matter at the relevant business forums and committees (e.g. Issues Panel, Licensee Incident Panel and Advice Breach Committee).
- As required, conduct data analysis of compliance functions to identify key issues, themes and trends to provide input into producing appropriate management reporting for forums, committees and licensees.
Skills & experience
- Minimum 5 years practical experience in a compliance, regulatory or legal function in the Financial Services industry
- Financial planning qualifications (DFP/DFS), ADFS/CFP and SMSF qualifications - preferred
- Experience in developing, implementing and monitoring the operation of compliance programs – incl. behavioural and procedural aspects – is preferred
- Experience in project management – including the planning and implementation of projects/business change interventions
- Sound knowledge of relevant legislation and regulatory obligations relating to Financial Services and the provision of advice.
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?