Compliance & Risk Management Recruitment ,Compliance Officer Jobs in Australia

FINANCIAL
ADVICE

This is a new role
within a Financial Services Organisation going through growth.

They are part of a
LARGE WELL KNOWN FINANCIAL SERVICES BRAND

Reporting to the
Head of Professional Standards,

this role will involve:

·        
Build
relationships and provide support to advisers / authorised representatives
·        
Monitoring
and supervision including identifying and providing training, areas of
improvement and potential regulatory risks
·        
Reviewing
supporting documentation including marketing material, etc
  • Training
    / coaching advisers to achieve compliance standards
  • Point
    of contact for compliance related enquires

The ideal candidate
will have:

·        
A
strong understanding of the advice process with an up to date knowledge and
understanding of advice regulations including FOFA, AFSL, etc.
·        
4+
years’ experience in either a compliance role in financial advice or as a para
planner / financial planner
·        
Excellent
communication and relationship building/management skills 
·        
Desirable:
Financial Service Industry Qualification such as a Diploma or advanced diploma
of financial planning.

You might be working
in compliance role in a dealer group or in a professional standards role or you
might be a Financial Planner / Para Planner with a strong desire to move into
compliance / service oriented role.

We are currently
shortlisting so please send your resume to  Vicki Williams at Compliance
and Risk Management Recruitment (Vicki@crmrecruitment.com.au) or
call Vicki on 02 9247 6655.

 

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