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.

Job Number 2000621

This role reports to the Executive Manager responsible for the specialist insurance arm of one of the big four banks. Their products comprise life and general insurance including home, contents and motor vehicle insurance, split into five main business lines.

As part of a small central risk and compliance team you will be the link between the central function and the business lines for all risk and compliance issues. It is predominantly focused on risk management, with compliance seen an integral element within the overall risk agenda. A key part of the role is to work with and facilitate support for the risk and compliance functions embedded in the business by ensuring consistency and that the risk program is “fit for purpose” across the division. The role will appeal to those with a strategic approach to risk management gained within a large financial institution. While knowledge of the insurance sector is desirable it is not essential.

Our client is interested in candidates who have 3 to 5 years risk management/compliance experience and who have the drive and personality to progress into a more senior role within the business. Compensation is up to $120K including superannuation plus bonus.

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.

Job Number 2000607

Our client is recognised as one of Australia’s preeminent boutique fund manager that pursues an absolute return philosophy. With a proven track record over many years they continue to set the high water mark in the industry.

The role calls for a junior compliance professional who has had at least 2 years compliance experience, preferably in the funds management, although they are willing to consider outstanding candidates who have compliance experience in other sectors within the finance industry. Based in Sydney, the role reports to the Risk and Compliance Officer and is part of a small team of four compliance, audit and risk professionals. This is a hands on role that will appeal to a motivated individual with the desire to start at the bottom and learn on the job. Specific duties include policy development, assistance in managing the risk and compliance framework, training and day to day monitoring and reporting.

 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.

Job Number 2000608

There are few firms bigger or better known in the financial sector than our US based client. In Australia they have a major presence in the retail lending and related insurance industry, with over 700 representatives distributing their products.  Their success is based around a strong corporate culture.

This role is as Compliance Manager and 2IC to the Head of Compliance, focusing on their insurance arm which is based in Sydney. As part of a team of five, they are looking for an experienced compliance professional who within a reasonably short time will be take on the Head role as part of an orderly transition for the incumbent into a more senior position within the firm. While experience in general insurance is desirable, the most important attributes are a strong work ethic, eight to ten years compliance experience and leadership and influencing skills, including senior management and board engagement. The compliance function is well established and regarded in the business lines and covers issues such AFSL, Insurance Industry Code of Practice, Privacy, APRA regulations and licensing as well as a global set of internal Rules relating to the conduct of their insurance business. Ideally candidates will hold CCP credentials with the ACI.

The firm has a refreshing approach to employee relationships, including generous compensation, flexible work hours, 5 weeks annual leave and rostered extra leave each fortnight.

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.

Job Number 2000613

This role is with a highly respected wealth manager. The organisation is of a scale where you will have every opportunity to work closely with the business as well as provide you with scope for career growth. The brand is strong and the role should enhance your experience as well as your CV. In short, this is a good organisation to work for.

You will report to a Senior Manager and support a specific business unit. You will work closely with other risk managers who are supporting additional business units and will have the opportunity to benefit from their experience. The emphasis is on operational risk with minor responsibility for compliance. You will have responsibility for a full range of operational risk activities including the implementation of risk frameworks and programs. As a partner to the business, you will be prepared to question and challenge the status quo in order to drive continues improvement.

The ideal candidate will have an operational risk background with circa 5 years experience. Exposure to financial services is important. You may also come from a “Big 4”audit background. This is a highly professional and inclusive organisation and therefore the cultural fit is important. You will be part of a small risk & compliance team which is part of a larger risk & compliance family that work well together.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000602

This role has come available as a result of a promotion within the group. The group is anticipating further growth which may include additional business lines and product. This leadership role will call on your ability to influence as well as manage.

Reporting to the head of the business you will be responsible for all aspects of compliance for Australia and New Zealand. You will inherit well developed relationships within the business, regulators and the overseas head office. Your team will be responsible for all compliance planning, monitoring and remediation as well as compliance training and awareness and board and committee reporting. You will work through experienced compliance liaison officers embedded in senior roles within the business.

You will benefit from the continuous support of the current head of compliance. The organisation is keen to develop its people and is supportive in terms of training and development. This is an autonomous role and will therefore develop your leadership qualities.

With over five year’s compliance expereince preferably in banking, you will have managed and developed people. You will be ready to take on the responsibility for a key function. You will to demonstrate the sensitivity and adaptability to influence across a wide range of stakeholders and levels.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000615

Our client is a major player in the superannuation sector with significant funds under management. As a result of a promotion, they are looking for a Senior Compliance Manager to “own & drive the compliance function”.

Reporting to a key member of the executive team with a dotted line to the CEO you will have full responsibility for the compliance function with the assistance of a Compliance Officer. A number of the key functions are outsourced and therefore one of the challenges is to maintain the integrity of compliance across a range of outsource providers. You will inherent and enhance good relationships with the regulator and continue to take initiatives that confirm this organisation as highly respected in terms of best practice.

You will be at a level in your career where you are confident to take ownership of the compliance function. With a preference for working in a collegiate environment you will have the necessary communication and technical skills to successfully manage your relationships with the board audit committee, the business and outsource providers. You will have a good understanding of superannuation legislation and experience in delivering in a compliance role.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000604

Our client is a boutique asset manager and is part of a global financial institution. This role reports to the Head of Risk & Compliance and works closely with the business.

You will be responsible for providing support and advisory services to the funds management business and in doing so you will ensure that all regulatory requirements are fulfilled. You will benefit from working closely with a highly expereince Director of Risk & Compliance. The function is well established however, there are significant initiatives in the pipeline. This role will develop your ability to work closely with the business in developing and implementing policies and procedures. The focus of the role is on compliance but you will also make a contribution to the development and maintenance of the risk function. This is a hands-on role but you will be encouraged to think strategically and contribute more broadly.

The successful candidate is likely to have developed solid compliance skills in funds management or related services. You will also ideally have had exposure to risk management concepts. In order to work effectively with the business, you will have highly developed communication and analytical skills. Although the role is well supported by the Head of Risk & Compliance, you will have a proactive approach and be keen to develop your own relationships within the business.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000612

Well known for their innovation and dynamic approach to business, our client is well established in Australia in investment banking, corporate advisory and wealth management. They are now in the process of complementing these services with an execution only wholesale broking business that will initially concentrate on the resources sector.

The role is part of a team of compliance professionals in corporate compliance who report to the Group Head of Legal and Compliance. This is a new role established initially to focus on the implementation of a compliance program around the new broking business. As such applicants must have at least three years experience within a broking business where research, advisory and execution are the main focus. In addition to broking, candidates will have the opportunity to participate in the broader compliance program across all of the business lines, which include corporate advisory, wealth management, private equity, property and project finance. The role would suit an experienced compliance professional from the broking sector who would like to broaden their horizons into new products and services.

While broking experience is essential, skills such as initiative, teamwork and communication are equally as important.

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.

Job Number 2000590

This is a key appointment with a major organisation that can offer you high levels of responsibility and significant career opportunities. The role will call upon your knowledge of operational risk, leadership skills and stakeholder management. In this autonomous position you will lead a small high calibre team.

You will have reporting lines into the business and be expected to drive a risk program that is ultimately geared towards improving customer outcomes. Good risk management is considered integral to this organisations success. You will work with an established risk framework and a cultural awareness and acceptance of the importance of risk management. It will be your role to develop this to the next level and ensure that risk management is embedded in the business and to ensure that risk management is contributing to better business decisions.

This is considered a senior appointment. You will be able to demonstrate strong leadership skills and an ability to work closely and influence the business. You will have a good understanding of operational risk, together with the ability to apply the concepts in a commercial manner. You will enjoy assisting and developing your team. You will demonstrate the ability to think strategically as well as work towards clearly define outcomes.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000593