Compliance Officer

  • Company:
  • Location:
  • Salary:
    negotiable / month
  • Job type:
  • Posted:
    1 day ago
  • Category:

The details:

  • National organisation
  • 15 people in Brisbane CBD office
  • Financial planning experience is essential
  • The company

    Our client is a national organisation with multiple offices in QLD, NSW, ACT and VIC. The Brisbane office consists of 15 people and due to continued success, they are seeking a Compliance Officer to join the team.

    The role

    As a Compliance Officer, your key duties will include:

  • Ensuring the quality and compliance framework remains up to date with changing legislation, licensee and group policies;
  • Quality checking Statements of Advice before being submitted to the client;
  • Maintaining client files throughout the advice process;
  • Ensuring a consistent approach to record keeping and file notes; and
  • Providing coaching, guidance and support to Financial Advisors.
  • About you

    To be successful in this role, you will have:

  • 5 + years’ experience in the Financial Planning industry;
  • At least one year in a compliance and/or quality role;
  • Excellent understanding of legislation and ensuring compliance;
  • Previous experience using Xplan;
  • Ability to proactively identify and analyse problems and propose practical solutions;
  • Demonstrated exceptional written and verbal communication and presentation skills; and
  • Ability to manage competing priorities and plan work efficiently and effectively to meet tight deadlines.
  • For more information please call Georgina Howlett at u&u on 07 3232 9156 , quoting reference number 19814 . Alternatively, to submit an application, please click below.

    Please submit your resume in Word format only.