Head of Compliance – Independent Financial Planner $150k recruitment
This market leading financial planning and advice network requires a senior compliance manager to head their small compliance team. The role will involve providing advice and guideance to the business and associated advisors in order to satisfy all external regulatory obligations and internal compliance standards. The role will also be responsible for managing the existing advisor-level audit framework.
Duties will entail -
- To consider the implications of legislative and regulatory requirements on the operation of the financial planning and advice business and implement compliance monitoring procedures as necessary in the fulfilment of these compliance requirements
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote legislative and regulatory compliance
- Assess the impact of legislative changes to the business, and ensure the advisors in the network are in adherence
- Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards
- Provide support to the junior staff in relation to the advisor level audits and ensure that adequate remediation plans are put in place where necessary
Suitable candidates will possess -
- 5+ years relevant experience in financial services firm or advisory business
- Knowledge of laws and regulations relevant to the financial planning industry
- An appreciation of regulatory requirements for a dealer network
- Proven track record of working in a team environment
- Excellent written and verbal communication skills
For further information or a confidential career discussion, please contact Henry Smith on 0282893131, alternatively email an updated CV to henry.smith@robertwalters.com.au
June 12, 2010
• Tags: Head of Compliance, Independent Financial Planner $150k recruitment, Private Banking, Wealth Management careers in the Australia • Posted in: Financial