About Us

Compliance & Risk Services (CRS) are experienced risk and compliance practitioners with a track record of delivering robust risk and compliance management solutions to the financial services industry spanning funds management, investment management, private equity, corporate advisory and superannuation.

CRS has developed their own risk and compliance software (CRS-Certus) that delivers easy and pragmatic compliance and risk management solutions for its clients. The partnership of risk and compliance practitioners and inhouse compliance programming provides a unique strength that few competitors can match.

About the Role

Reporting to the CEO, this is a unique and rare opportunity to join a reputable professional respected business in a growth phase. Capitalise on your past experience in compliance in financial planning businesses by joining a team who are leading experts in financial services compliance. Be recognised and rewarded for your contribution within a highly respected professional team. Promotion and growth opportunities available based upon performance.

Key Responsibilities include:

Design and implement compliance management systems for financial planning businesses

Provide guidance and interpretation of ASIC requirements for paraplanners and planners

Maintain compliance manuals and adviser practice templates

Undertake practice reviews, including client files and transactional records

Maintain ASIC records on behalf dealerships

Assist with dispute resolution including AFCA matters

Provide training and updates on relevant regulatory matters to clients

About You

To join this our team, you will ideally:

have at least 5 years’ experience in the financial planning sector

possess, as a minimum, an undergraduate degree in a relevant discipline.

have strong communications skills including the ability to communicate complex matters to all stakeholders

be organised and driven, self-motivated with the ability to manage your targets

have a strong digital skills incl. Microsoft Word and Excel

be confidence to work independently and able to engage with colleagues for feedback and guidance

ability to find practical and compliant solutions for clients

have interpersonal skills that are top notch, as are your problem-solving skills and ability to think outside the square.

enjoy working in a small team and will have an innovative, entrepreneurial, flexible, personal style

Culture and benefits

Competitive remuneration package based on experience

Enjoy genuine work/life balance

We support flexibility, including work-from home arrangements and workspace in the Sydney CBD.

Please include a cover letter detailing how you meet the requirements of the role.