Compliance Manager

hmh Advisory is a growing professional services firm employing 55 staff in accounting and financial services in Melbourne’s eastern suburb of Mont Albert. The Financial Services division has been self-licenced since December 1986 offering a full suite of holistic investment and strategic advice, with a core focus in superannuation and investment advice. The Accounting division established in 1977 offers audit, tax and business services to not for profits, small-to-medium sized business and high net wealth individuals.

Our culture centres on our staff, work/life balance and providing high quality service to our clients.

The opportunity:

We require a compliance manager to action our regulator obligations and support our advisers and accountants in their day-to-day activities. Primarily working in our financial services division, you will have the support of a legal and audit firm who provide an implementation framework for certain compliance functions.

Key responsibilities and requirements:

Take the role of Responsible Manager for Financial Services Division

ASIC and AUSTRAC reporting

Pre-vetting of Statements of Advice and arranging annual file audits.

Spot checking of financial adviser’s advice

Overseeing and monitoring of financial advisers and possibly accountants’ CPD requirements

Where applicable, the onboarding and oversight of a financial adviser’s professional year

Ensuring our various policies remain up to date and meet prevailing standards

Assist financial advisers with compliance queries

Be knowledgeable on Statement of Advice requirements

Liaising where appropriate with our compliance support network which includes a legal and audit firm.

Maintain our Wholesale Client register.

Remain up to date and implement any legislative, regulatory or recommend best practice changes.

Attend monthly board meetings and report.

Attend ongoing education relevant to the role.

Attend and present to internal risk committee on various allocated tasks

Maintain various compliance registers

Promote a compliance and ethical culture amongst the firm

Skills & Experience

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

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

Have experience in a financial services compliance or audit background.

Understanding of financial planning education requitements

What's on Offer?

A competitive salary based on experience

Flexible working arrangements (part-time hours if preferred by the candidate will be considered).

Employee Assistance Program

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

Applicants will be required to undertake police and basic credit checks as a condition of employment.