JOB  DETAILS

About the role

• Own the company’s compliance framework across the AFSL and the SMSF administration business, ensuring it stays current with regulatory change.
• Draft, review and refresh policies, procedures and registers in plain English that advisers and staff will actually read and use.
• Maintain the breach register, conflicts register, gifts and benefits register, and incident log, ensuring root cause analysis is documented and lessons fed back into the framework.
• Coordinate the annual compliance plan, attestations and licence obligations, working with our external compliance advisory firms where specialist input is needed.
• Act as a trusted point of contact for advisers, planners and the company’s Report team on day to day compliance questions.
• Sit in on adviser meetings, sales meetings and investment committees where appropriate to spot issues early.
• Build and deliver the company’s compliance training program, including induction, ongoing CPD relevant content, and targeted refreshers based on observed risks.
• Act as the company’s primary liaison with our external compliance advisory firms across AFSL, AML/CTF, SMSF and any specialist matters.
• Maintain AFSL obligations including those under the Corporations Act, RG 104, RG 105, RG 146, RG 175 and related guidance.
• Report compliance performance and emerging risks to the CEO, Chairman and Board, with clear, useful papers that focus on what matters..

About you

• Minimum 5 years’ compliance experience in Australian financial services, with material time spent inside an AFSL holder.
• Demonstrated experience covering both wholesale and retail advice models, ideally including a publication or model portfolio business.
• Working knowledge of SMSF administration and the SIS Act framework, even if specialist SMSF detail comes from external advisers.
• Track record writing policies and procedures that have actually been implemented and used by a business, not just filed.
• Experience running adviser training and file review programs.
• Relevant tertiary qualification in law, commerce, finance or a related field.
• RG 146 compliant. Additional qualifications such as Graduate Diploma in Applied Corporate Governance, GAICD, or postgraduate compliance or law qualifications are highly regarded.

Are you interested in this position?

Apply by clicking on the “Apply Now” button below!

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