Compliance Manager – Distribution & Advice

Large global financial services organization which specialises in insurance and investment management is seeking to appoint a compliance manager to focus on the management of the distribution and advice business.

Reporting to the Head of Compliance you will manage a small team and have responsibility for the compliance framework for the group’s sales and advice channels and champion compliance across the distribution network, as well as act as deputy in the absence of the head of compliance. The position has oversight of the surveillance program, management of all licensing obligations and ensuring effective processes and procedures are in place as well has all reporting, training and participation in relevant industry associations.

To be considered for this role you will have DFP and/or CFP qualifications and have at least seven years experience of working in the financial services industry as a financial adviser or paraplanner and ideally incorporating compliance experience. You must also be able to demonstrate strong leadership and interpersonal skills with an ability to adapt and respond to change and influence and liaise at all levels of business.

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Alternatively, please apply for this position using the details below.
For a strictly confidential discussion, please contact Amanda Atherton on (02) 9236 9000 or email amandaatherton@taylorroot.com.au quoting reference number AA640877TF. For a full review of all our roles please got to www.taylorroot.com.au.

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