A leading Investment Bank is looking for a Senior Compliance Analyst specialising within Wealth Advice Monitoring to join their team. You will work with senior compliance professionals and business stakeholders to actively identify and manage compliance risks in the evolving Banking and Financial Services Group. In addition to a market leading remuneration package the bank also provides industry and banking benefits.
- Conduct targeted and thematic compliance reviews and investigations
on the retail financial services area.
- Responsibility for performing periodic reviews of representatives
against obligations, regulations and policies, and advising on outcomes to
improve processes and control design and performance.
- Undertake targeted investigations and thematic reviews to identify
adherence to relevant legislation, regulations
and Australian Financial Services Licence licensing obligations
- Provide coaching/feedback to the Australian Financial Services
Licence and representation to promote improvements in understanding of the
quality of advice provided, processes and good practises.
- Identify and document incidents and breaches and escalate these to
- Contribute insights to aid in improving the compliance assurance
program with the overall objective of improving the monitoring approach
over the Australian Financial Services License and representatives to
provide high-level analysis, evaluation, guidance and strategic thought on
issues and provide possible approaches or solutions to issues detected.
- Identify thematic and systemic risk indicators which contribute to
enhancing the compliance framework.
- Strong understanding of wealth management compliance
- Experience in applying ASX / ASIC Market Integrity rules
- Good networking and effective relationship building skills
- High degree of commercial acumen
- Ability to work well under pressure
- Resilient and dynamic
- Strong communication and interpersonal skills
- Previous Banking or Financial Services experience
How To Apply:
If you are interested in this opportunity, please apply directly or contact our consultant Charlotte on 0280 228 718 or .