Compliance Officer

Patrese People

Opportunity for a Junior Compliance Officer or Paraplanner looking to join the Compliance Team

  • Work with a friendly supportive team
  • Salary around $100k plus super
  • Hills District, Sydney
Are you the sort of person that likes everything in it's place.  Then this is for you.

Working with a well established financial advice practice located in the Hills District you will be responsible for auditing Advice files and documents to make sure everything is in place in accordance with the compliance framework.
You will be passionate about the financial planning industry and enjoy using your knowledge of policies and procedures along with your attention to detail. 
This role is all about assisting the advisers to remain compliant in a team of professionals who are passionate about “doing the right thing”.
About the role

You will be working alongside the Practice Manager and Compliance Manager, assisting in ensuring processes and implementation of policies are in line with legislation.  You will also provide in put on continuous improvement and training across teh business.
Key Responsibilities
  • Coordination of all compliance processes
  • Checking of Best Interest Duty and advice document’s ( SoA’s and RoA’s )
  • Conducting compliance audit of all files post implementation of advice in reference to advice documents with product providers
  • Conduct operational check of file covering file notes, forms and other relevant documents
  • Ensure the compliance framework remains current via reviews against changes in legislation and policy of licensee
  • Monitoring and supervision of activities with effective feedback loops to ensure continuous improvement
  • Assist in ensuring that all new and existing products and services are recorded correctly with compliance registers
  • Provide support with Incident/breach/complaints management
  • Respond to staff compliance and operational queries on a day-to-day basis
  • Prepare insightful and accurate reporting for relevant stakeholders
  • Work with the compliance manager in identifying improvement needs of staff and deliver ongoing education and training to the team.
Capabilities & Experience 
  • Financial Planning background is highly regarded
  • Financial services industry experience with an emphasis on compliance and risk is required
  • Relevant Bachelor’s degree & Diploma of Financial Planning
  • Strong customer focus with an emphasis on risk management and compliance
  • Strong attention to detail and data assessment skills
  • Confidence in presenting feedback and recommendations to senior management