Compliance Manager

Sequoia Financial Group is an ASX-listed financial services company that works with financial advisers, business and individuals to manage and grow their wealth. We offer a full range of products and services, including financial advice, superannuation management and administration, stockbroking and a legal documents/company establishment service. The company operates on a stand-alone basis and is not associated with a bank or super fund.

Sequoia has grown rapidly and this is expected to continue against a background of more Australians looking to take control of their financial future. The Sequoia Group operates a number of businesses and brands including InterPrac, Sequoia Superannuation, DocsCentre, Sequoia Wealth Management, Sequoia Asset Management and Sequoia Media.

The culture at Sequoia is one that values customers, business ethics, staff, collaboration and community.

The opportunity:

InterPrac is a leader in the finance industry. InterPrac is one of the fastest growing AFSL’s and supports Financial Planning businesses with licensing services.

Interprac is looking for a talented and passionate Compliance Manager experienced in a corporate environment that is capable of driving wide ranging change.

The role reports to the Head of Compliance Operations and will be responsible for provide compliance support to our advisers primarily with on-site compliance, supervision and monitoring. This includes supporting advisers with technical and compliance information as required with the aim to deliver a sustainable improvement in the financial advice process, ensuring improved quality and compliant outcomes.

Key responsibilities and requirements:

Conducting compliance file/advice reviews of InterPrac financial planners (Pre-Vet and Audit)

Identifying and evaluating compliance risks in relation to the provision of financial planning advice by Licensee’s representatives

Recommend and establish remediation activities collaborating with appropriate stakeholders (internal and external)

Assess and evaluate our adviser compliance frameworks and practices against key legislative and regulatory obligations, professional standards and business rules in order to develop assurance over the quality of advice being delivered to clients, and identify gaps, issues and key emerging risks

Guide and advise advisers on compliance related queries and ensure consistency is maintained across the business

Assist with adviser related compliance training and coaching to enhance adviser capabilities (webinars, inductions)

Collaborate across Sequoia’s Wealth management business on various projects.

To be successful in the role you will possess:

Good relationship and client management skills with the ability to work both autonomously and as part of a team

Possess a great balance between the technical knowledge and capability required to perform in the role coupled with outstanding communication, interpersonal and leadership skills

May have >3 years' experience in either planning, paraplanning or compliance related roles.

Benefits:

At Sequoia, we offer a competitive salary, flexible working arrangements, health and wellbeing programs, and so much more.

Please ensure you provide a cover letter, telling us with you are the ideal candidate for the role.

Applicants will be required to provide evidence of their eligibility to work in Australia, and at a minimum be required to undertake police and basic credit checks as a condition of employment.

Recruiters, please note that our People and Culture team will try to source this role internally at this stage.