Ensure Recruitment,Advice Compliance Manager Jobs in Australia

• Fantastic
  supportive and flexible working environment
• Great
  brand name
• Huge
  Career Path Options

arding opportunity has arisen for an
experience Financial Advice Compliance/Regulatory Manager to join the team on a
permanent basis.

This team are responsible to provide a focus on regulatory, risk and compliance
issues impacting the firms advice licensees and making sure the business
delivers on the relevant compliance and risk management obligations.  The
team are responsible for managing adviser issue, oversight of remediation for
adviser issues, investigation into adviser issues, ASIC interactions, board
reporting.

Duties include:

• Conduct
  adviser investigation where required
• Identify
  adviser risk profile and ensure plans are in place to address risk and
  compliance matters
• Responsible
  for the application of the firms advice issues and consequences management
  framework
• Coach,
  guide and promote issues and consequences management frameworks 
• Prepare
  a case summary on high risk adviser issues and present the matter at
  business forums
• Be
  involved in field based compliance projects

• Proven
  experience in a compliance, regulatory or legal function in the services
  industry specifically within advice
• Experience
  in developing, implementing and monitoring the operation of compliance
  programs
• Understanding
  of AFS licensing requirements
• Sound
  knowledge of relevant regulatory obligations relating to the provision of
  advice.
• Financial
  Planning qualifications 
• Tertiary
  qualifications preferred