The compliance function operates across the entire advice and private banking business operations of this division, providing financial planner compliance consultancy services to the various businesses within the division.

Reporting to the National Compliance Manager and forming a strategic part of the compliance team, you will be responsible for supporting and supervising the activities of a team of field operatives across a number of distribution channels and geographic locations along the east coast of Australia.

Duties will cover evaluating and managing compliance risks within adviser practices, developing and maintaining support tools, systems, policies and guidelines for advisors and providing guidance, training and leadership to advisers and staff on compliance regulation. You will also be involved in "consequence management", dispute resolution and ensuring regulatory requirements are met thus protecting from legal claims.

You will have previous experience in a compliance related field in financial planning, legal, regulatory or auditing. You must possess a detailed understanding of the financial planning process and a sound knowledge of the legislation and policy relating to that process.

You will be tertiary qualified and preferably RG 146 accredited.

For more information about this exciting opportunity, call Peter Flood or send your Resume and covering letter in Word format to (see below) quoting ref PRF P152.
Peter Flood
EDT Global Pty Ltd,
61-63 Market Street, Level 7,
Sydney NSW 2000

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