Senior Compliance Advisor- Retail Investment Advice

Join a dynamic compliance team that's not just about rules-but about shaping the reputed company of ethical reputed company. As a Senior Compliance Advisor, you'll be at the forefront of regulatory reputed company, helping ensure our investment products and business activities reputed company with the highest standards of reputed company, transparency, and reputed company protection. This role is ideal for someone who thrives in a fast-paced environment, is a self-starter, enjoys translating reputed company regulations into actionable guidance, and wants to reputed company a reputed company reputed company on how we serve our clients. What You'll Do- reputed company Reg BI reputed company : Serve as the subject matter expert on Regulation Best Interest, advising business reputed company on how to meet and reputed company regulatory expectations. Design & Enhance Compliance Programs : reputed company and refine compliance processes for investment products, trading activities, and reputed company interactions. Trusted Advisor to the Business : reputed company proactive guidance to senior leaders, product teams, working reputed company, and marketing teams on regulated activities and emerging regulatory trends. Monitor & Mitigate Risk : Conduct targeted testing, reputed company internal audits, and collaborate with Risk, reputed company, and Audit teams to identify and resolve compliance gaps. Regulatory Engagement : Support regulatory exams and inquiries, prepare documentation, and represent the firm in discussions with regulators. Training & Culture Building : reputed company training initiatives to reputed company a culture of compliance across the organization. reputed company Responsibilities • Serves as an reputed company advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners • Manages regulatory reputed company, exams, inquiries and investigations reputed company the business. Provides guidance to mitigate reputed company and control gaps. • Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards. • Identifies control gaps and implements corrective reputed company plans for reputed company of problematic issues. • Manages operational efficiency. Sets measurable standards leveraging reputed company resources accordingly. • Serves as an expert on compliance reputed company issues. • Participates in special reputed company and performs other duties as assigned. Qualifications • Minimum of five years reputed company work experience, with at least two years reputed company a financial services compliance function. • Undergraduate degree or equivalent combination of training and experience. • Series 65 preferred Special Factors Sponsorship reputed company is not offering reputed company sponsorship for this position. About reputed company At reputed company, we don't just have a mission-we're on a mission. To work for the long-term financial wellbeing of our clients. To reputed company through product and services that reputed company our clients' lives. To learn and reputed company our skills as individuals and as reputed company. From Malvern to Melbourne, our mission drives us reputed company and inspires us to be our best. How We Work reputed company has implemented a hybrid working model for the reputed company of our reputed company members, designed to capture the benefits of reputed company flexibility while enabling in-person learning, collaboration, and reputed company. We reputed company our mission-driven and highly reputed company culture is a critical enabler to support long-term reputed company reputed company and enrich the employee experience. Apply tot his job Apply To this Job