Senior Consultant Advice Compliance

NAB

Location: Melbourne

Job Type: Full time

Posted


  • Opportunity for an experienced compliance professional at a leading private wealth management firm
  • Utilise your knowledge of regulatory requirements and experience in business process development
  • Permanent opportunity based in a stunning Melbourne CBD location

JBWere is a leading private wealth management firm operating across Australia and New Zealand. For 180 years we have been delivering sophisticated investment and wealth management solutions to a diverse client base – we strive every day to fulfil our core purpose: to give our clients the confidence to do what matters.

At JBWere, we believe success comes from our people. We're committed to supporting your talent and skills through your career, as you help us build a culture that affects change for our customers - and for the community too.

The Role:

The Senior Consultant Advice Compliance responsible for ensuring JBWere’s advisers comply with the relevant laws, AFS Licence conditions, FASEA Code of Ethics and JBWere’s internal procedures. Reporting into the Manager Advice Compliance, this key role will provide advice for a variety of diverse tasks or problems based on the application of judgment in their area of expertise/responsibility.

Day to day you will:

  • Perform adviser client file audits and Statement of Advice vetting;
  • Ensure that documents and tools used by Financial Advisers in the provision of advice are up to date and fit for purpose;
  • Develop policies to ensure advice is provided in accordance with the relevant laws, AFS Licence conditions, FASEA Code of Ethics and JBWere’s internal procedures;
  • Develop and deliver training to ensure JBWere staff are adequately trained in relation to advice policies and processes;
  • Respond to advice related queries;
  • Proactively manage JBWere advice risks in relation to new products and services, change programs and emerging regulation;
  • Reporting to the Advice business on monitoring outcomes and working with Advisers on remediation.

About You:

You are an experienced compliance professional with a proven ability to efficiently manage processes that meet detailed requirements in a way that engages the hearts and minds of those involved. You should be able to demonstrate:

  • Financial services business experience in delivering personal financial product advice to retail clients;
  • Knowledge of regulatory requirements applicable to financial services organisations;
  • Experience in business process development or change programs;
  • Experience in policy development and training delivery.

To be successful in this role you will have relevant tertiary qualifications in a related discipline and demonstrated experience in financial services. Strong business acumen and excellent communication skills are essential, with ability to engage and influence senior stakeholders. Your strong execution capability, coupled with the ability to drive key priorities and deliver results will ensure your success in this role.

A diverse and inclusive workplace works better for everyone

At JBWere, we’re intent on building a culture we can all be proud of. One based on trust and respect. An uplifting environment where every single one of us feels appreciated and empowered to be our true, authentic selves. A diverse and inclusive workplace where our differences are celebrated, and our contributions are valued. It’s a huge part of what makes JBWere such a special place to be.

Join JBWere
If you think this role is the right fit for you, we invite you to apply. If you require any reasonable adjustments to the recruitment process or the role, please let the recruitment consultant know.

To be eligible to apply, you must have Australian or New Zealand citizenship or Australian permanent residency status. Please note candidate screening and interviews may be conducted prior to the closing date of the job advert.

Please note unsolicited CVs from agencies will not be accepted.

You’ve got this!