Policy & Compliance Manager

Company Overview

This large wealth management company provides clients with a full spectrum of wealth services including investment, superannuation and retirement income products, investment platforms, financial advice, private banking and insurance solutions. 

Role Overview

As a Policy & Strategy Manager you will be responsible for reviewing and developing the advice documentation which talks to all targeted customers wealth segments of the advice and private bank channels.

  • Develop and maintain the policies and procedures for a national remediation programme
  • Risk management through the application of robust policies and framework
  • Liaise with multiple groups and areas within the business to ensure effective implementation
  • Ownership and maintenance of Business Policies for Advice
  • Implement all Operational Procedures across the business with regards to policy changes
  • Work with the Risk and Compliance Management team and improve Licensee standards where high-risk issues are detected
  • Lead training and workshops for major policy changes

Skills & Experience

  • 5 years’ experience in the financial planning industry such as Technical, Compliance or Policy Management capacity
  • Understanding compliance regulations
  • Excellent written and communication skills
  • Solid experience in writing and reviewing policies
  • Ideally Tertiary Qualifications in a business related discipline 
  • Diploma in Financial Planning 

Click on the APPLY button or contact Steve Kelly  on 03 9602 9860

Policy & Compliance Manager

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