Compliance Associate

SUMMARY:
About our Client
Our client is an established Wealth Management firm that provides a specialist solution to their client's individual financial needs by offering a comprehensive range of services and expertise to manage and grow their wealth.
 
About the Role
To provide support to the internal compliance team, ensuring that all compliance - related activities are carried out accurately and efficiently, as well as working closely with all departments to ensure legal compliance regarding specific laws.

POSITION INFO:
Key responsibilities Assist with drafting and updating compliance documentation, including policies, procedures, risk assessments and audit reports. Maintain accurate compliance records and registers, ensuring documentation is up to date and readily available for audits. Coordinate compliance projects and remediation activities, monitor progress and escalate outstanding issues. Manage Commpay and Xplan commission lodgements for Wealth Managers, including capturing estimates and actuals, liaising with the Fees Department, reviewing submissions and ensuring monthly lodgements are completed accurately. Requirements Relevant degree or tertiary risk/legal/or compliance related qualification from a reputable institution 3+ years of experience in an administrative role with specific focus in a FAIS & FICA compliance environment. Microsoft Suite (MS Excel, MS Word, Outlook & PowerPoint) skills RE5 (advantageous) SharePoint (advantageous) Accuracy Detail and quality oriented Perform well under pressure Thank you for your interest. If you apply for this opportunity, but do not hear from us within two weeks, please assume that your application has not been successful on this occasion.