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Compliance OfficerFlexible

LocationNewcastle, NSW 2300
Work TypeAny Employment
Positions1 Position
Published At:22 days ago
Job no: 9EJGB
Category: Compliance

 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 looking for someone full time or part time with financial services Compliance experience to join our expanding team. This role will sit in the already established management structure.

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.

In addition to this role advertised we are also always open to conversations with existing compliance consultants at any level who have their own client base and may be interested in joining our team.

Responsibilities may include: 

  • 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.
  • Implement compliance programs and manage the ongoing monitoring. 
  • AML/CTF compliance obligations.
  • Conduct AFSL health checks, assist with AFSL regulatory lodgements and prepare AFSL variations and updates of key proof documentation.
  • Provide ongoing support with compliance obligations.
  • Liaise with auditors and annual audit management.
  • Assist with reviewing and feedback on disclosure documents.
  • Review promotional material for compliance with relevant regulations and legislation. 
  • Monitoring of ongoing AFS Licence conditions of the clients.
  • Breach and incident assessment and management.
  • Implementation of regulatory change.
  • Compliance training.

We’re looking for someone: 

  • With 2+ years’ experience in a compliance (or audit) role, ideally within the regulated financial services industry.
  • Product related compliance experience will be highly regarded, especially in insurance, managed investment schemes and/or superannuation..
  • Who is open to learning new skills, giving things a go, and asking questions when you don’t know.
  • Intermediate 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 senior team members managing a pool of clients that are primarily insurance companies, fund managers, investment managers and corporate advisory firms but is likely to broaden over time.
  • Pathways to more senior compliance roles in the future.
  • We will leverage off your existing skills initially and train you along the way.
  • Have access to the knowledge pool of 14 compliance professionals.
  • Interesting and challenging work in all 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 – work from the Sydney CBD office on Tuesdays with the flexibility to work from home for the rest of the week if you wish. We are open to fully remote for the right candidate.
  • Work part-time (at least 3 days), full-time or shorter hours. We currently have multiple team members who do.
  • Competitive remuneration.
  • People experience programs like the Da Vinci Program (get an extra weeks’ leave after completing a personal development activity) and the Adventure Club (this year trips to Queenstown, Darwin or Hobart
  • Full day birthday leave.
  • 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 or 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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  • Published on 08 Feb 2024, 5:33 AM