Compliance & Risk Officer
Morrows are a growing professional services organisation with a multi-disciplinary approach to servicing clients. Our people are passionate about being the best in everything they do and motivating clients to achieve their lifetime goals.
An opportunity has become available for an experienced compliance officer to work in our established wealth advisory division. This is a part time 2-3 day job share role. The candidate must be available to work on Mondays and Wednesday’s of each week. Flexibility around the other day.
The ideal candidate will have a mature disposition, come to us with 3 or more years of experience in a similar role, and show a commitment to team work. In addition, it is anticipated the potential candidate would have some previous paraplanning that would assist in the review of client SOA’s.
This is a part time job share role 3 days per week. The candidate must be available to work on Mondays and Wednesdays and flexibility around the other day.
The Role will involve:
- Attendance at Compliance Assurance Committee meetings, including preparation of meeting agenda and minutes
- Assist in reviewing the compliance framework
- Ensure compliance to policies and procedures and update of compliance registers
- Liaise with compliance consultant and external parties in relation to compliance projects
- Tracking and maintenance of CPD points for all representatives and Responsible managers
- Assist with creating letter templates in Xplan to improve efficiencies
- Pre and Post vetting of client SOA’s to ensure compliance with Best Interests Duty
To be considered for the role, you should have:
- Minimum 3 years’ experience working in a similar role
- Previous paraplanning experience (ideally)
- DFP
- Attention to detail and accuracy is essential
- Excellent organisational skills
- A friendly disposition to work closely with your colleagues
- Strong Microsoft Office Skills
- Xplan experience would be an advantage
Please include a cover letter with your application to address your compliance experience.
At Morrows, we foster a culture that recognises and rewards high performance, but we also care about the things beyond your job. With a family friendly yet professional culture, you will have access to a range of employee benefits such as accessing flexi start/finish times, purchasing of additional annual leave, access to in-house speciality services and join the social club for some additional fun times.
Salary commensurate with experience
