Advice Compliance Officer

Job Title: Advice Compliance Officer
Contract Type: Permanent
Location: Brisbane
Reference: 2247366 - 28
Contact Name: Toby Walsh
Contact Email:
Job Published: October 08, 2018 16:22

Job Description

Highly successful national based financial planning firm is currently recruiting a Compliance Officer (Financial Advice) to join the team to be based in the Brisbane offices. 

This is a fantastic chance to further your career within a respected and growing business in a friendly, relaxed environment. 

You will be working closely with for the license part of the business, supporting the Operations Manager. 

The Role and Responsibilities 
  • Assist with the implementation of the compliance framework and interaction with advisers to ensure regulatory compliance
  • Provide compliance advice to the business and its authorised representatives
  • Evaluate the impact of legislative changes, and ensure the relevant parties are fully informed
  • Assist with regulatory reporting
  • Document current and proposed procedures
  • Ensure a culture of compliance within the company
  • Assist with preparation of reports to the all related parties.
  • Handle incoming inquiries from new clients 
  • Assist with queries from existing clients
  • Assisting Advisers with diary management, booking appointments and insuring they are prepared for client meetings
  • Liaise with the in house Compliance teams to co-ordinate client files are ready
  • 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
  • Assist with ad-hoc queries from Advisers on the license 
  • Degree qualification in business, financial planning or related discipline preferred, but not compulsory
  • DFP or RG146 qualifications will be highly regarded
  • Experience developing and advising on compliance frameworks
  • A strong understanding of regulatory requirements for compliance
  • Have excellent attention to detail and organisational skills
  • Be able to communicate well with advisers face to face and over the phone
  • Ability to work as part of a tight knit team
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

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