Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor's practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.
Key responsibilities include:
- undertaking the compliance assurance program specific to financial product advice
- identifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMG
- providing coaching and support on assurance program outcomes
- providing feedback to individual and the business to promote improvements in process and practice
- assisting with compliance investigations where required
- contributing to the risk-based compliance assurance program with the overall objective of improving the quality of advice
- recognition of thematic and systemic risk indicators.
To be successful in this role, you have:
- previous compliance assurance experience specific to financial product advice
- thorough understanding of AFSL and ASX compliance and regulatory frameworks
- strong communication and influencing skills
- good interpersonal skills
- resilience and assertiveness
- sound judgment
- a process driven approach with the initiative to identify, analyse and resolve complex problems
- an appreciation of quality advice outcomes
- the ability to work both autonomously in a state based office and collaboratively as a part of a national team
This is an excellent opportunity to join a forward thinking organisation and work in a challenging, fast paced environment.
About Us;
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. Macquarie's Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within RMG 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.
Advertised:
16 Sep 2013 Aus. Eastern Standard Time
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