- Conduct adviser file audits and report on findings and appropriate remediation.
- 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.
- Review client AML/CTF compliance obligations.
- Assist with reviewing and feedback on compliance documents including FSGs, SOAs, and Client Engagements.
- Review promotional material for compliance with relevant regulations and legislation.
- Implement compliance programs and manage the ongoing monitoring.
- Provide ongoing support with compliance obligations.
- Liaise with auditors and annual audit management.
- Monitoring of ongoing AFS Licence conditions of the clients.
- Implementation of regulatory change.
- Compliance training.
- Conduct AFSL health checks, assist with AFSL regulatory lodgements, and prepare AFSL variations and updates of key proof documentation.
- Design solutions for Regulatory Change.
- With 2+ years' experience in a compliance (or audit) role, within the advice financial services industry.
- Product-related compliance experience will be highly regarded, especially financial advice, or General Insurance Broking, Managed Discretionary Accounts, Separately Managed Accounts, managed investment schemes, investment management, and/or IDPS/investment platforms.
- Who is open to learning new skills, giving things a go, and asking questions when you don't know.
- Ability to work autonomously and efficiently.
- Intermediate level of experience with Microsoft Office products.
- Excellent written and verbal communication skills.
- Strong client/stakeholder relationship management and development abilities.
- Organized and comfortable multitasking and prioritizing.
- Work jointly with a senior team member on a varied pool of clients that are primarily advice and insurance broking firms but are likely to broaden over time.
- Pathways to permanent or more senior compliance roles in the future.
- Have access to the knowledge pool of 10 compliance professionals.
- Interesting and challenging work in multiple 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 – ability to work from home dependent on client and team commitments.
- Competitive remuneration.
- Be part of the HPX Group and work alongside Hamilton Locke, Australia's fastest-growing law firm.
-
Compliance Officer
22 hours ago
Accord Care City of BrisbaneCompliance Officer (NDIS Safety and Quality) · Is Accord Care the Right Fit for You? · You're in a role where you're good at what you do, but something feels like it's missing. With experience in Australian healthcare/disability spaces, you're seeking a workplace where you can ge ...
-
Compliance Officer
2 hours ago
The University of Queensland City of BrisbaneCompliance Officer - Work Integrated Learning (WIL) · Compliance Officer - Work Integrated Learning (WIL) · Apply locations St Lucia Campus, Herston Campus, Dutton Park · Time type: Full time · Posted on: Posted Yesterday · Job requisition id: R-47427 · Faculty of Health, Medicin ...
-
Compliance Officer
2 hours ago
DXC Technology Inc. Brisbane CityAre you ready to be part of something truly innovative? · At DXC, we are thrilled to announce the launch of our new self-insurance business operation, and we are looking for talented individuals to join our growing team. This is a unique opportunity to help shape the future of ou ...
-
Compliance Officer
2 hours ago
ClearCompany City of BrisbaneCompliance Officer (NDIS Safety and Quality) · Is Accord Care the Right Fit for You? · You're in a role where you're good at what you do, but something feels like it's missing. With experience in Australian healthcare/disability spaces, you're seeking a workplace where you can ge ...
-
Compliance Officer
2 hours ago
Department of Agriculture and Fisheries Brisbane CityAgriculture and Fisheries (Organisation site) · Operations; National Red Imported Fire Ant Eradication Program; Biosecurity Queensland; Berrinba, Laidley, Gold Coast, Caboolture · Find purpose you feel, impact you see and a legacy you bring to life. #DAFcareers · As one of our Co ...
-
Compliance Officer
2 hours ago
Compliance Wise Brisbane CityIn this role, your expertise as an enforcement officer will be crucial to upholding public health regulations. Beyond resilience and confidence in field investigations, you'll be adept at interpreting legislation and guidelines to ensure effective operations. Your duties will enc ...
-
Whs And Compliance Officer
7 hours ago
Cefn Trading QueenslandCefn Pty Ltd is a progressive, family-owned and operated business specialising in all aspects of pig production. · We have been farming the Clifton district since 1933, and today we employ over 140 staff across multiple sites located in the Clifton, Leyburn and Yelarbon areas.Ove ...
-
Senior Compliance Officer
22 hours ago
One Power City of BrisbaneJoin Our Team as a Senior Compliance Officer at the Engineering Institute of Technology (EIT) · Having recently been awarded Self-Accrediting Authority (SAA) as an Institute of Higher Education, we're expanding and looking to add even more experience and talent to our incredible ...
-
Lease & Compliance Officer
2 hours ago
Gough Recruitment QueenslandThe Client · Our client is a Top Tier Commercial Property Group who is seeking to appoint a Retail Lease and Compliance Officer to join their high-performing team. In place is a highly regarded management team that has a commitment to providing a positive and professional working ...
-
Training Compliance Officer
2 hours ago
MAX Solutions City of BrisbaneOverview · Casual role with potential to lead to permanent · 8:30-5:00pm, Monday to Friday · The opportunity · We are searching for an administrator to join our RTO (Registered Training Organisation) team. The team consists of a fun bunch of people working together for the better ...
-
Legal and Compliance Officer
22 hours ago
Heat and Control City of BrisbaneAdd expected salary to your profile for insights · Heat and Control Pty Ltd is a global leader in Food Processing Systems and Packaging Equipment with an expanding export market and worldwide affiliations. Our equipment is exported around the world, with the company being the rec ...
-
Operations and Compliance Officer
21 hours ago
Brisbane Catholic Education Office City of BrisbaneOperations and Compliance Officer - Our Lady of Assumption School, Enoggera · Estimated start date: January 2025 · Position tenure: Continuing · Weeks worked: School term weeks only (holidays unpaid) · Total Paid Hours (per week) & days required: 28.8 hours/ week (4 days) · Emplo ...
-
RTO Compliance Officer
2 hours ago
Racing Queensland QueenslandRacing Queensland (RQ) is a statutory body whose primary purpose is to promote, enhance and provide a platform to service the industry across three codes of racing: Thoroughbred, Greyhound, and Harness. RQs Mission is to champion great racing and events which connect Queensland c ...
-
Compliance Officer
6 hours ago
Accord Care Qld Pty BrisbaneCompliance Officer (NDIS Safety and Quality)Is Accord Care the Right Fit for You? · You're in a role where you're good at what you do, but something feels like it's missing. · With experience in Australian healthcare/disability spaces, you're seeking a workplace where you can gen ...
-
Principal Compliance and Governance Officer
2 hours ago
Queensland Department of Education City of BrisbanePrincipal Compliance and Governance Officer - Office of the ED, Registration Services (International, Non-State & Home Education) · Education (Organisation site) · Performance, International and Intergovernmental Division · Are you an accomplished financial professional with a pa ...
-
Training Compliance Officer
7 hours ago
MAX Solutions BrisbaneOverviewCasual role with potential to lead to permanent8:30-5:00pm, Monday to FridayThe opportunity We are searching for an administrator to join our RTO (Registered Training Organisation) team. · The team consists of a fun bunch of people working together for the betterment of o ...
-
EOI Compliance Officer – Casual or Contract
2 hours ago
Source Legal Pty Brisbane CityAbout 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 bus ...
-
Eoi Compliance Officer
6 hours ago
Hpx Group Pty BrisbaneAbout UsSource 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 busines ...
-
Operations And Compliance Officer
8 hours ago
Brisbane Catholic Education Office BrisbaneOperations and Compliance Officer - Our Lady of Assumption School, EnoggeraEstimated start date: January 2025Position tenure: ContinuingWeeks worked: School term weeks only (holidays unpaid)Total Paid Hours (per week) & days required: 28.8 hours/ week (4 days)Employment condition ...
-
Legal And Compliance Officer
5 hours ago
Heat And Control BrisbaneAdd expected salary to your profile for insightsHeat and Control Pty Ltd is a global leader in Food Processing Systems and Packaging Equipment with an expanding export market and worldwide affiliations. · Our equipment is exported around the world, with the company being the reci ...
EOI Compliance Officer - Brisbane City - HPX Group Pty

Description
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, prioritizing 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 seeking a Compliance professional on a casual or contract basis with experience in the financial advice sphere to join our expanding team based in Brisbane.
The casual employment would be dependent on clients' needs, assignments ranging from 3 weeks through to 12 months, with a principal concept to perform adviser and broker file reviews and report on the findings.
Working both autonomously and within a team environment, you will be responsible for providing compliance services to a range of Financial Services organizations and supporting other compliance professionals within your specialization.
Responsibilities May Include
Areas for Growth:
We're Looking for Someone
What's In It for You
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.
#J-18808-Ljbffr
-
Compliance Officer
Accord Care- City of Brisbane
-
Compliance Officer
The University of Queensland- City of Brisbane
-
Compliance Officer
DXC Technology Inc.- Brisbane City
-
Compliance Officer
ClearCompany- City of Brisbane
-
Compliance Officer
Department of Agriculture and Fisheries- Brisbane City
-
Compliance Officer
Compliance Wise- Brisbane City
-
Whs And Compliance Officer
Cefn Trading- Queensland
-
Senior Compliance Officer
One Power- City of Brisbane
-
Lease & Compliance Officer
Gough Recruitment- Queensland
-
Training Compliance Officer
MAX Solutions- City of Brisbane
-
Legal and Compliance Officer
Heat and Control- City of Brisbane
-
Operations and Compliance Officer
Brisbane Catholic Education Office- City of Brisbane
-
RTO Compliance Officer
Racing Queensland- Queensland
-
Compliance Officer
Accord Care Qld Pty- Brisbane
-
Principal Compliance and Governance Officer
Queensland Department of Education- City of Brisbane
-
Training Compliance Officer
MAX Solutions- Brisbane
-
EOI Compliance Officer – Casual or Contract
Source Legal Pty- Brisbane City
-
Eoi Compliance Officer
Hpx Group Pty- Brisbane
-
Operations And Compliance Officer
Brisbane Catholic Education Office- Brisbane
-
Legal And Compliance Officer
Heat And Control- Brisbane