Job Description
Compliance Officer (Stockbroking & Financial Planning)
n
An excellent opportunity is available to join a well-established, privately owned financial services firm providing stockbroking, investment and financial planning services to a long-standing client base. This is a varied, hands-on role offering exposure across both stockbroking and financial planning, making it ideal for someone who enjoys the practical side of compliance and wants to develop broad financial services experience.
n
Reporting directly to a Director and the Finance Manager, you will play an key role in supporting the firm's compliance and regulatory framework. You'll work closely with advisers, brokers and management across client account compliance, trade monitoring, AML/CTF, documentation, internal audits, policies and regulatory obligations.
n
Rather than being purely policy-focused, this position will see you involved in the day-to-day compliance activities of the business and helping ensure the wider team continues to meet its regulatory responsibilities.
n
Key responsibilities
n
Monitor new and existing client accounts to ensure compliance requirements are met
n
Review trade daybooks and transactions for adherence to internal and regulatory requirements
n
Conduct general and branch compliance audits, including account, SOA and order reviews
n
Support AML/CTF compliance,



monitoring and reporting
n
Ensure advisers, brokers and employees are adhering to internal compliance policies and procedures
n
Review and maintain client-facing documentation including FSGs, Client Guides, SOAs, ETO and PDS documentation
n
Maintain and update internal compliance policies and procedures
n
Monitor changes to relevant financial services legislation and regulatory requirements
n
Assist with legislative and regulatory submissions
n
Maintain compliance registers including breaches, complaints, MDAs and sophisticated investors
n
About you
n
2 to 10+ Years experience
n
Previous experience in a Compliance Officer, Compliance Analyst or similar role
n
Experience within stockbroking and/or financial planning
n
Good understanding of Australian financial services compliance and regulatory requirements
n
Exposure to AML/CTF and client account compliance
n
Experience reviewing trades, advice documentation and/or client files
n
Strong documentation and policy-writing skills
n
Excellent attention to detail and ability to identify potential compliance issues
n
Confidence working with advisers, brokers, senior management and other stakeholders
n
A practical and collaborative approach to compliance
#J-*****-Ljbffr

📌 Compliance Officer (Stockbroking & Financial Planning) (Queensland)
🏢 Berritta Consulting
📍 Queensland