Compliance Officer | AU Client
About the role:
Ready to elevate your compliance career? We’re on the lookout for a Compliance Officer with a strong grasp of Australian financial regulations. If you have the experience and eye for detail, we want to hear from you!
RG146 Compliance training will be provided to the right candidate, offering a valuable opportunity to further develop your professional expertise
Be part of a trusted, forward-thinking dealer group. Apply now and take the next step in your compliance journey!
About the client:
Established in 2007 and headquartered in Brisbane, our client is a leading boutique dealer group helping financial advisers grow successful, client-focused businesses. With a national reach, they provide expert licensing, compliance, and support in a culture built on trust, flexibility, and innovation.
Perks You’ll Enjoy If Hired:
- Competitive salary package
- 25 days of paid leave
- HMO coverage from Day 1
- Travel and meal allowances
- Complimentary rice, drinks, and snacks
- Performance-based bonuses
- A fun work environment with a focus on work-life balance
- Access to an entertainment and gaming area
- Monthly basketball and volleyball games
- Karaoke Fridays to unwind and bond with colleagues
- Minimum of 2 years’ experience in Australian Financial services compliance or equivalent within a similar framework
- Bachelor’s degree in finance, law, business, or a related field is preferred but not mandatory.
- Additional relevant certifications in financial services or compliance are a plus.
- Background in paraplanning or providing financial advice
- Strong understanding of ASIC regulations and Australian financial compliance requirements
- Familiarity with tools like Slack, Trello, and WhatsApp
- Proficient in Microsoft Word and Excel for document handling and data tracking
- Excellent attention to detail – ability to produce accurate, error-free work
- Clear and professional written and verbal communication skills
Success will be measured by the accuracy of your work (e.g., zero-error reviews) and the number of tasks successfully offloaded from the Operations Manager, potentially leading to expanded responsibilities in compliance strategy or team leadership.
Key Roles and Responsibilities
As a Compliance Officer, you will play a crucial role in maintaining client’s commitment to regulatory compliance and adviser support. Your daily tasks will focus on operational compliance activities, utilizing inbuilt compliance management systems and collaboration tools. Key duties include:
Review Advice & Fuiles- Conducting under supervision reviews of advisers SOA’s, ROA’s for best practice and compliance based on a provided checklist and matrix
- Conduct and/or assistance conducting offsite/desk file reviews based on a provided checklist and matrix
- Oversea completion of Vetting and File audit action items
- Assist with data gathering and preparation of weekly audit reports
- Monitor and track ongoing compliance obligations and deadlines
- Conduct annual compliance policy reviews and suggest improvements based on regulatory updates
- Review financial advice documents for compliance accuracy and provide feedback
- Report directly to the National Operations Manager
- Collaborate with a small compliance team (3–5 members) using tools like Slack, Trello, WhatsApp, Microsoft Word & Excel
- Help reduce the Operations Manager’s workload through accurate, timely task completion