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Job Description The Private Advisory arm of a Big 4 Australian Bank are looking for a Compliance Lead to come on board for an Initial 6 Month.
More specifically you will:
Be involved in the design and delivery of an advice process which is repeatable and effective for both the adviser and Licensee
Drive quality advice outcomes by ensuring compliant, practical and effective Licensee Standards and other adviser support materials
Communicate with advisers, both through regular articles and in 1:1 and group settings to ensure they are aware of changes and understand the practical implications of change
Develop and maintain Licensee Standards and Documents within the governance framework of the Licensee Standards
Engage with relevant stakeholders in conducting research, gaining agreement and releasing any amendments to the policies, processes and supporting materials
Liaise with relevant subject matter experts to understand and investigate the impact of business and regulatory changes on policies and processes
Apply an appreciation of the relevant legislative requirements and how they may differ from the Licensee Standards set within the business, and legal requirements to identify opportunities for efficiencies within the advice process
To be successful you will have:
Significant experience in financial planning & financial services, preferably in policy or compliance roles
Relevant tertiary qualifications (e.g.: Finance, Accounting, Economics or similar)