We’re looking for a candidate to fill this position in an exciting company.
Assist the Quality Advisory & Standards team in the organization and identify gaps, if any in the monitoring process and recommend appropriate measures to ensure professional standards are met.
Ensures proper procedures and robust measures are put in place
Ensures that quality advices are provided to customers in accordance to Fair Dealings guideline and Representatives adhere to good conduct practices.
Identify, own and manage key risks and controls relevant to the role.
Maintain appropriate records and ensure that controls are well designed and operating effectively to keep the risks
Ensure that representatives receive adequate training to fulfil their compliance obligations.
Ensure that new regulatory requirements impacting the department/function are implemented, and an effective process is in place for regulatory consultations to be reviewed and analysed by subject matter experts.
Ensure that potential control gaps, failures or breaches that could or have already resulted in a regulatory breach are escalated in accordance with issued guidelines.
Provide guidance and ensure appropriate levels of financial advisory knowledge and experience within the team to support the delivery of Fair Dealing Outcomes.
Min. 1-2 years working experience in the financial industry providing financial advice (i.e. financial consultants)