Advice Compliance Officer
|Job Title:||Advice Compliance Officer|
|Reference:||2247366 - 21|
|Contact Name:||Toby Walsh|
|Job Published:||August 24, 2018 11:48|
This is an exceptional opportunity to utilise your technical skills and ensure financial planners within the business are following the correct compliance procedures and undertaking and training and development and implementing policies where needed. Reporting to the Operations Manager you will be responsible for promoting ethical conduct and compliance with rules, regulations and processes.
Key Responsibilities include:
• Raise awareness of regulatory requirements and compliance policies
• Manage issue notifications, client complaints and claims processes ensuring an efficient and fair resolution
• Liaising with regulators in compliance and with representatives of their licensee
• Perform internal audits of processes to ensure adherence to compliance policies. Provide recommendations for post-audit improvements
• Create reports outlining any issues with compliance policies
• Develop and deliver training programs to increase the understanding of compliance policies, regulatory requirements and ethical conduct.
• Contributing to system improvements to ensure a more effective, efficient and compliant process
• Ensure sound operational knowledge of legislative, regulatory and code of conduct requirements.
Support is provided by the Operations Manager, Advice Manager and CSM Support Manager – all of which have knowledge in the Compliance space.
To be considered for this role you will ideally have the following:
• Proven experience in a compliance related role ideally within financial planning environment
• Understanding of the financial planning process or lending process
• Financial Planning qualifications (DFP / ADFP)
To find out more about this exciting and rewarding opportunity please email your resume via the link below or to hear more about this role confidentially and other opportunities across the Wealth Management sector, please contact Toby Walsh on 0404971247 or firstname.lastname@example.org