Compliance Officer

Summary about this job

Detail information about job Compliance Officer . Terms and conditions vacancy

This Compliance Officer role is specifically focused on compliance for the financial advice business, the successful candidate will review the advice and liaise with senior stakeholders and members of the business to ensure the policies and procedures are being followed. This is a great opportunity for the next step up in an a growing and exciting business.

Compliance Officer

Daily Responsibilities:

• Perform in depth client file reviews, interview advisers and implement required remedial steps;
• Drafting of compliance review reports;
• Assist in preparation of responses to regulatory queries;
• Work closely with advisers and their support staff to ensure compliance with regulatory obligations, including answering ad hoc queries as they arise;
• Identify risks across Shaw’s advisory, financial planning, research, institutional sales, corporate finance and administration functions and develop policies and procedures to address those risks;
• Assist in presenting seminars, small round-table sessions, and ‘one on one’ training on advice preparation, regulatory issues, market related issues or other relevant topics.

Key Selection Criteria:

• An interest in developing a career within compliance;
• Strong understanding of financial advice obligations to wholesale and retail clients;
• Strong analytical skills;
• Prior para-planning experience;
• Excellent written and verbal communication skills.

This is an outstanding opportunity for an up-and-comer to take the next step in their compliance career. A very competitive salary package will be negotiated on behalf of the successful applicant.

This Sydney CBD business is a great opportunity to get into a growing and dynamic compliance career.

To apply please click apply or call Jordan Masman on 02 8289 3156 for a confidential discussion.