compliance in Brisbane CBD

Brisbane CBD, Queensland
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job description

To be successful in this role you will need to have around 4 years experience as either a Compliance Officer or in an Advice based role. You will be responsible for ensuring that all Adviser files are ethical and fall within the regulations of the industry body.

You will also need to:

  • Stay up to date with the ever changing landscape of Financial Advice
  • Be able to support and advise Advisers of the changes in regulations
  • Train and help other Advisers to understand what is classified as Compliant and Ethical Advice
  • Perform internal audits and offer feedback where necessary.
  • Strong minded and able to work under pressure
  • Have a keen eye for detail and a meticulous approach to file quality

Holding your ADFP and tertiary qualifications will also be desirable in this role.

For more information please contact Phil Smith on 0416576473 or email

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