Compliance Analyst – Wealth Management
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services.
Macquarie's business is structured into six operating groups and four service groups. Strong prudential management has been a key to Macquarie's success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses. Compliance staff are aligned with Macquarie's operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie's success.
Banking and Financial Services Group (BFS) is the primary relationship manager for Macquarie's retail client base in Australia, New Zealand, Asia, North America and Europe. Products and services include wealth management, stockbroking and retail lending and banking solutions such as residential and commercial mortgages, investment lending, personal loans, credit cards and relationship banking to businesses and professionals.
Macquarie Private Wealth (MPW), a division of BFS, is the primary relationship manager for Macquarie's retail clients in Australia and New Zealand. Services include full-service stockbroking, on-line broking, financial planning, private banking, private portfolio management and investment planning.
As a Compliance Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor's practices for adherence to FOFA (Future of Financial Advice), Corporations Act and other licensing obligations under AFSL. You will then identify remedial actions to be implemented.
Key responsibilities include:
- undertaking compliance assurance program specific to advice
- identifying and escalating compliance incidents arising from the assurance program to Risk Management Compliance
- thematic pre-vetting of advice with compliance processes
- thematic post-advice review
- introducing process improvements for regulatory and risk issues
- providing coaching and support on assurance program outcomes
- assisting with compliance investigations where required
To be successful in this role, you have:
- previous compliance experience specific to retail financial advice
- thorough understanding of compliance and regulatory frameworks
- strong communication and influencing skills
- resilience and assertiveness
- a process driven approach with the initiative to identify and resolve problems
- the ability to work both autonomously in a state based office and collaboratively as a part of a national team
To apply, please follow the links below. For a confidential discussion call Zoë Pashley on 07 3233 5014.
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