Description:
About Us
Source Compliance, part of the HPX Group, is a National Specialist Compliance and Risk Management provider, primarily to the financial services industry. We offer our clients professional, flexible and outcome driven solutions that adapt with their business.
Our businesses are powered by our ‘people experience’ (PX), and we believe this delivers the best possible 'client experience' (CX). This means we are culture-led, operating with a clear purpose and values-driven leadership model, prioritising personal and professional development.
Put simply, our environment allows our people to be the best version of themselves, which enables them to do their best work, and ultimately makes our clients happy. We’re a diverse professional services group, and are looking for someone who is enthusiastic, proactive, happy to give things a go and appreciates variety.
The role
We are seeking a Compliance professional on a casual or contract basis with experience in the financial advice sphere, to join our expanding team based in Brisbane.
The casual employment would be dependent on client’s needs, assignments ranging from 3 weeks through to 12 months, with a principle concept to perform adviser and broker file reviews and report on the findings
Working both autonomously and within a team environment, you will be responsible for providing compliance services to a range of Financial Services organisations and supporting other compliance professionals within your specialisation.
Responsibilities May Include
- Conduct adviser file audits and report on findings and appropriate remediation.
- Prepare compliance reports for Boards and Committees as required.
- Prepare and update tailored policies and procedures for clients.
- Act as a compliance resource for clients.
- Review client AML/CTF compliance obligations.
- Assist with reviewing and feedback on compliance documents including FSGs, SOAs and Client Engagements.
- Review promotional material for compliance with relevant regulations and legislation.
- Implement compliance programs and manage the ongoing monitoring.
- Provide ongoing support with compliance obligations.
- Liaise with auditors and annual audit management.
- Monitoring of ongoing AFS Licence conditions of the clients.
- Implementation of regulatory change.
- Compliance training.
Areas for Growth:
- Conduct AFSL health checks, assist with AFSL regulatory lodgements and prepare AFSL variations and updates of key proof documentation.
- Design solutions for Regulatory Change.
We’re Looking for Someone
- With 2+ years’ experience in a compliance (or audit) role, within the advice financial services industry.
- Product related compliance experience will be highly regarded, especially financial advice, or General Insurance Broking, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management and/or IDPS/investment platforms.
- Who is open to learning new skills, giving things a go, and asking questions when you don’t know.
- Ability to work autonomously and efficiently.
- Intermediate level of experience with Microsoft Office products
- Excellent written and verbal communication skills
- Strong client / stakeholder relationship management and development abilities
- Organised and who is comfortable multi-tasking and prioritising
What’s In It for You
- Work jointly with a senior team member on a varied pool of clients that are primarily advice and insurance broking firms but is likely to broaden over time.
- Pathways to permanent or more senior compliance roles in the future
- Have access to the knowledge pool of 10 compliance professionals
- Interesting and challenging work in multiple areas of Compliance
- Work with a great team in a collaborative and high performing team environment
- Being mentored by senior compliance staff, at the forefront of their profession
- Work autonomously but with lots of support when you need it.
- Be at the forefront of developing new ways of providing compliance services.
- Flexible working conditions – ability to work from home dependent on client and team commitments.
- Competitive remuneration.
- Be part of the HPX Group and work alongside Hamilton Locke, Australia's fastest growing law firm
How to Apply?
We prefer to work directly with candidates, if you are interested in this role, please click the ‘Apply’ button or contact the consultant, details below, for more information.
For more information on Source Compliance, please visit https://sourceservices.com.au or follow us on LinkedIn.
Agency submissions
HPX Group does not accept agency submissions unless the agency is specifically contacted by a member of the Recruitment Team. Please do not forward candidate profiles or resumes to partners, hiring managers r other employees - this will not constitute as an introduction to the firm and HPX Group will not be liable for a fee.
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