Opportunities

Regulatory Compliance Officer – initial 6-month contract

Written by Anton Murray Consulting Consulting on .

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Location: Sydney

Salary description: $35-60 per hour + super depending on experience and level

  • $50-100k AUD Equivalent
  • Contract or Temporary
  • 3 to 7 years of experience

A new contract role of Compliance Officer has become available with a leading wealth management firm in Sydney. The role will be working closely with other members of the Legal and Compliance Division, the purpose of this role is to assist with the execution of the day to day tasks assigned to the Wealth Management Compliance department.

The role will be hired initially on a 6-month contract with view to extend to 12 months and will be hired at either the Analyst or Associate level  depending on prior experience so seeking 2-6 years’ prior relevant experience.

Responsibilities:

  • Advice – respond in a timely manner to queries received from the business regarding regulatory requirements and internal policies requirements
  • Marketing sign-off – review and approve outgoing correspondence, presentations, advertisements, brochures, etc. for the business
  • Monitoring / Surveillance – conduct regular monitoring and surveillance tasks
  • Support – provide support to senior members of the Compliance team with the completion of ad-hoc tasks as required
  • Client complaints – assist with the investigation of client complaints and the preparation of written responses as required
  • Project work and business initiatives – provide support with ad-hoc projects as required from time to time
  • Policy – assist Senior members of the Compliance team in the drafting and amending of Compliance policies and procedures
  • Regulatory matters – maintain files and correspondence, update the Regulatory Notice Register, provide management reporting and assist with the investigation and preparation of regulatory notice responses as required
  • Training – assist with the preparation of Compliance training material and present induction training to new starters

Experience:

  • Tertiary qualified or equivalent in a relevant business discipline
  • Minimum 2 years’ experience within the financial services industry
  • Relevant working experience in Compliance or risk discipline

You will be paid on an hourly or daily rate between $35-60 per hour + super depending on experience and level.

Contact Us in Sydney

LEVEL 26, 1 BLIGH STREET
SYDNEY NSW 2000

Phone:+61 2 8246 8900

Hiring Staff: hire@antonmurray.com

Seeking Work: apply@antonmurray.com

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