senior compliance manager – financial planning in sydney cbd

posted
job type
permanent
salary
AU$ 130,000 per month
apply now

job details

posted
location
sydney cbd, new south wales
job category
banking & financial services
job type
permanent
working hours
Full-Time
salary
AU$ 130,000 per month
reference number
90M0340522_1543970171
phone
000
apply now

job description

Senior Compliance Manager – Financial Planning

Leading Wealth Business

CBD Based

Attractive Salary

The Company

This is one of the premier financial services organisations in Australia. They provide fantastic career growth opportunities internally and the best training in the Advice industry. They have a strong reputation in the market for it's commitment to providing holistic, tailored advice to their customer base. With strong relationships within the financial services community their philosophies and processes give them a competitive advantage within the marketplace.

The Role

You will be identifying and reducing the risks associated with financial advice processes and making sure that all legislative requirements in accordance with the regulators. This is a 1st line role where you will be supporting the management of the advice business and enabling them to identify and resolve compliance issues as they arise.

You will have input into processes and practices that help the business get through compliance in a efficient manner. You will be working with internal stakeholders across the business and engage in regular reporting of compliance results.

Your Experience

Sound knowledge of financial planning practice as well as documentation

You will have experience doing a similar role for at least 5 years and have been exposed to audit/controls testing

Strong understand of ASIC regulation guides and laws

To apply online, please click on the appropriate link.

At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.

skills

Financial Planning Compliance

qualification

RG-146

educational requirements

Post Graduate Diploma