Compliance Manager – Financial Services

Filed under Available Jobs, Compliance, Compliance Management, Financial Planning, Financial Services, GG, Managers, Permanent, Senior Compliance Consultanting, Sydney

Well known Australian Financial Services Firm
Financial Planning Focus
Compensation Circa $90K

Our client is a well known and respected financial services firm with an integrated suite of financial services and products, including wealth management, superannuation, funds management, financial and estate planning.

The role is in their financial planning division and involves a range of duties, including:

Assist with coordination of the conduct of compliance audit reviews of internal and external authorised representatives around Australia.
Undertake compliance audit reviews of internal and external authorised representatives around Australia.
Undertake compliance training and provide general adviser support to Financial Planners and business partners.
Assist with implementation of key compliance policies and procedures.
Provision of specific assistance to the Senior Compliance Manager on any other designated tasks.

This is a hands on Sydney based role that will appeal to candidate with at least 3 years experience in compliance within a financial planning organization covering the Privacy Act, the Industry Code of Conduct, Equal employment, Trade Practices and Consumer Protection legislation and the Corporations Act and ASIC Regulations. It involves a substantial amount of interstate travel and face to face training and liaison with the planners.

Compensation is around $90K and there are other benefits and career opportunities within the firm.

To apply for this position, hit the APPLY button below or contact Greg Goodman on 0411 825 458 for a confidential discussion. Please quote the job number below.