Compliance Manager

Are you ready for your next career move working for a leader private wealth management?

About The Role:

An exciting compliance manager opportunity working for AFR winner for 2021 "best place to work". The role Reports into to the Senior Risk and Compliance Manager, this role needs to work both IN the business (as a member of the Legal, Risk and Compliance team and broader Operations team) and ON the business (to support of the group's end to end policies, procedures, infrastructure, and resources).

• Incident recording and tracking;
• Responding to daily queries from advisers;
• Maintaining our various risk and compliance registers;
• Staff compliance training requirements;
• Our Monitoring & Supervision program, including client file reviews; and
• Embedding compliance into our technology (especially our Salesforce CRM).

About You:

• Strong stakeholder engagemet skills/ experience
• At least 5 years of financial services experience.
• Relevant business, finance or law degree preferred, but not essential.
• Familiarity and understanding of the key Australian regulatory obligations that are relevant to the provision of financial advice to retail and wholesale, e.g., Corporations Act and AML

About The Company:

• Great company culture
• Hybrid working
• Sydney CBD location
• Fitness First Gym in the building .......no more gym excuses!
• A learning and development plan tailored for your career ambitions and pathway
• Generous leave provisions