Compliance Officer - Financial Advice

Reference Number:
$100000 to $115000
Work Type:
  • Perth Location
  • Great Culture
  • Attractive Remuneration and Company Benefits on offer
My client is a dynamic and innovative financial services provider and currently a fantastic position is vacant for a Professional Standards Officer to join the friendly and inspiring team based in Perth. This role will suit candidates with a financial advice, para planning, audit or Compliance background.

The purpose of this role is to co-ordinate and assist in the implementation and development as well as the monitoring of compliance procedures to develop a compliance culture within the dealer group.

Key Responsibilities:

  • Ensuring the compliance and operational processes are in place that assist the advisors in meeting their obligations under Corporations Law
  • Provide regulatory oversight and advice to ensure that the business is informed of all risks
  • Review documentation and adviser websites as required ensuring it meets the legislative requirements and to assist advisors to meet their qualification obligations
  • Review their CPD program for the advisors to ensure their CPD obligations are met
  • Provide feedback or training where necessary to financial advisors where issues have been identified
  • Analyse the effectiveness of the existing risk & compliance framework and identify areas of weakness and potential threats and making enhancements and action plans to assist the advisors.
Experience required:
  • Thorough knowledge of Legislative requirements applicable to the advice and sale of life insurance and financial services.
  • 5+ years of related experience.
  • Advanced Diploma of Financial Planning (Mandatory).
  • Ability to develop strong relationships with advisors and customers
  • Expert knowledge of financial services risk and key regulations, policies, remediation frameworks.
  • Tertiary Degree in Technical or Business areas preferred.

To be considered for this highly rewarding role please email your resume via the link below or to hear more about this role confidentially and other opportunities across the Superannuation and Wealth Management sector, please contact Paul Zantuck on 03 8637 7320 or email your resume to
Date Posted:
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Consultant contact details

Consultant name: Paul Zantuck 03 8637 7320

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