Practice Compliance Manager

Company Overview

This leading financial advice business is one that prides itself on high-quality service, advice and products. They are currently seeking an experienced Compliance Manager to deliver compliance services within a progressive part of the business.

Role Overview

This position involves managing compliance services in respect to ensuring regulatory requirements and customers best interests are met.

  • Primarily you will be working within a busy and productive part of the business and will be the go to person with regards to all subject matter queries whilst managing a team of Compliance personnel
  • Supervising, evaluating and managing compliance risks
  • Effectively managing relationships with advisers and Practice Managers through a collaborative audit process

Skills and experience

  • Detailed understanding of financial planning legislation, regulation, processes and product types
  • 5-7 years previous compliance experience
  • A strong understanding of the financial planning industry
  • Able to plan your timetable and work autonomously
  • High attention to detail and strong management skills

To express your interest in this opportunity, please forward your resume using the “Apply Now” link below or contact Chris Gordon on (02) 9240 6366 for more information.

Practice Compliance Manager

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