Compliance Analyst Offshore

Unlock Your Potential: Join the Elite Team Shaping the Future of Financial Services!

Since its establishment in 2002 our client has emerged as a prominent player in Australias financial services landscape. As one of the countrys leading Licensees our client distinguishes itself by its independence; being privately owned and operated sets it apart from institutions like banks and fund managers. This autonomy empowers them to offer bespoke adaptable solutions to its extensive network of financial advisers and accountants a rarity in an era of institutional consolidation. With comprehensive inhouse operational support advisers under our clients umbrella benefit from a suite of services typically associated with larger institutional dealer groups. In an industry where providing genuine value is paramount our client stands out as a trusted partner equipping advisers and accountants to navigate an increasingly competitive landscape. Joining our clients team means becoming part of a dynamic organization committed to excellence and innovation in financial services.

Adviser Compliance and Risk Management Monitoring

• Support our Professional Standards Compliance officers through a range of daytoday activities.
  
• Utilize relevant compliance and risk management technology and software provided by Capstone to monitor manage and report on current and emerging issues and trends across our adviser network.
  
• Prevetting financial advice documentation for advisers as required.
  
• Prepare and issue written reports and provide feedback to advisers as required.
  
• Support any adviser agreed remediation process.
  
• Identify and escalate compliance concerns and ensure remedies are implemented to prevent continual breaches.
  
• Ensure all advisers adhere to Capstone s requirements in the conduct of their business.
  
• In conjunction with other members of the Compliance team provide advice regarding compliance queries from advisers and staff.
  
• Participate in Professional Standards Committee meetings as requested.
  
• Assist with Induction programs for new authorized representatives.
  
• Maintenance of Compliance registers as required.
  
• Assist with the development and maintenance of operational procedures/policies and tools to support the AFSL (Australian Financial Services License) risk management framework.
  

Adviser Training:

• Facilitate train or make presentations as required.
  
• Assist with compilation and preparation of adviser training materials/reports as required.
  
• Provide subject matter coaching to Advisers as required.
  

Ad Hoc Projects:

• Participate in and contribute to the successful completion of relevant projects as required.
  

Requirements

Numbers Ninja Wanted: Join Our Team and Crunch Some Serious Data

Experience:

• Preferably minimum of 3 years experience in Para Planning or Financial Adviser compliance.
  
• Prior experience in dealing with financial advisers.
  
• Extensive and uptodate knowledge of Australian Financial services licensees and their advisers.
  
• Experience with all aspects of Microsoft Office as well as other relevant software applications.
  

Skills and Competence:

• Experience in using Iress/Xplan software.
  
• Excellent verbal and written communications skills.
  
• Strong computer literacy skills.
  
• Time management skills.
  
• Ability to work independently and with minimal supervision.
  
• Ability to work in a small team.
  
• Ability to work to deadlines.
  
• Ability to adapt to changing conditions flexibility.
  
• Ability to present to small and large groups of people.
  

Knowledge:

• Relevant Tertiary qualifications are essential.
  
• Knowledge of the Australian Financial services industry and products is essential.
  
• Working knowledge of Information Technology requirements and applications.
  

Interpersonal Skills:

• Enthusiastic outlook.
  
• Ability to maintain confidentiality.
  
• Ability to deal effectively with a wide range of people.
  
• Strong level of motivation.
  
• Strong interpersonal skills.
  
• Empathy with a variety of individuals.
  

Values:

• Uncompromising commitment.
  
• Honesty and integrity.
  

Benefits

Beyond the Bottom Line: Discover the Perks of Balancing Work and Life

• HMO coverage upon hire
  
• Day shift schedule
  
• Prime office location
  
• Work life balance
  
• Standard government and Emapta benefits
  
• 20 annual leaves to be used on your discretion
  
• Direct exposure to international clients
  
• Realistic career growth opportunities
  
• Upskilling through Emapta Academy
  
• Diverse and supportive work environment
  

Who are we

Discover a world of possibilities at Emapta where your career takes flight in stability and growth. Join a team that thrives on camaraderie supporting each other to achieve excellence together. Experience the satisfaction of being recognized for your contributions with competitive compensation packages that reflect your skills and commitment. Immerse yourself in a positive work culture that encourages collaboration innovation and personal development. We provide you with the platform for your success empowering you to reach new heights in a supportive and inclusive environment.

With a wide roster of international clients from various industries and a proven track record of success Emapta offers a stable foundation for your career. Team up with likeminded professionals who are passionate about making a meaningful impact through premium global opportunities at your fingertips. Apply now and create a better future with us.

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