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Do work that matters: Commonwealth Financial Planning Pathways and Financial Wisdom have an obligation to ensure that they discharge their AFSL/ACL obligations as well as meeting the risk management requirements of CBA. This incorporates governance, management reporting, Responsible Managers for AFSL/ACL, risk management framework (ISO 31000), policy and licensee standards, supervision and monitoring
We currently have a fixed term contract opportunity available for a Manager, Policy & Compliance to support the business in relation to ensuring compliance from Authorised Representatives occurs with regard to the Licensee's AFSL obligations. This contract will likely run until June 2020 and will see you focused on the practical development and implementation of advice quality and compliance policies, with an emphasis on ensuring that the self-employed licensees are successful in assisting their advisers to deliver great advice efficiently.
See yourself in our team: As Manager, Policy & Compliance, the role will require you to provide subject matter expertise to the broader licensee team as well as providing self-employed focused input back in to the wider Wealth Management Advice team. You will engage with the Business Development team to drive through substantial improvements in advice quality and adviser compliance practices and to build an efficient environment for delivery of advice.
The role will require you to lead, provide support, training and advice to equip the Management team to play an integral role in identifying, developing and communicating legal, compliance, technical and process advice. With responsibility for Licensee Standards review and endorsement, Adviser training on specialised SME topics, you will also provide assistance in the designing and developing of new processes and suppliers to enhance the adviser experience. In addition you will support Advisers with any escalated calls and provide training at Adviser induction on the intricacies of being a self-employed adviser within an institutionally owned licensee.
You will engage with key business stakeholders to build trusted relationships between the business and compliance and look to assist in designing and documenting the supervision and monitoring process where new regulatory developments have been released. The role will also offer exposure to Specialist AFSL Compliance Project work and assisting in the development and delivery of relevant education, communication and remediation.
We're interested in hearing from people who have:
The ability to commence work immediately
Extensive experience in Financial Planning, understanding of the planning and process and understanding of the regulatory documentation requirements relating to financial planning.
An industry recognised tertiary qualification in finance and/or financial planning.
Previous experience in the provision of Compliance support within an Advice Practice or Financial Services organisation.
Sound experience in training, coaching and presenting.
Ability to deal with very complex issues, and resolve issues quickly and decisively.
Strong personal drive to deliver top quality customer service.
Industry regulatory issues affecting our dealership, and trends in processes and tools, are monitored closely and incorporated into the team's development plans.
Understanding of training and development practices.
Outstanding relationship, communication and analytical skills.
Capacity to analyse and identify the drivers of quality advice and develop innovative and effective support.
Your path looks like: If you live the values and demonstrate the people capabilities, we can look to offer you other great opportunities within the organisation or the wider Group. The way you live the values and demonstrate the people capabilities are key to your development.
If you're already part of the Commonwealth Bank Group (including Bankwest), you'll need to apply through Sidekick to submit a valid application. We're keen to support you with the next step in your career.