Saturday, 11 June 2016

Ensure Recruitment,Advice Compliance Manager Jobs in Australia

  • Fantastic supportive and flexible working environment
  • Great brand name
  • Huge Career Path Options
My client is a highly respectable large financial services firm and currently due to growth an exciting and highly rew
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

Key Experience includes:
  • 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
To be considered for this role confidentially please email your resume ,please contact Toby Walsh on (07) 3337 1702 or

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