Compliance Associate

About the position

Our client is a long term established Wealth Management firm that strives to provide a specialist solution to their client's individual financial needs by offering a comprehensive range of services and expertise to manage and grow their wealth.  
 
The Compliance Associate will provide support to the internal compliance team, ensuring that all compliance-related activities are carried out accurately and efficiently, as well as working closely with all departments to ensure legal compliance regarding specific laws.  
Key Responsibilities:

• Assist in the preparation of compliance-related documents
• Ensure proper maintenance and filing of compliance-related records and registers
• Assist with coordination and completion of compliance remediation and projects
• Company administration (commission lodgements)
• Assist in the development and implementation of compliance training programs for employees
• Conduct research and analysis on compliance-related topics, and present findings to the compliance team  

Requirements:

• 2-3 years’ experience in an administrative role, with specific focus in a FAIS compliance environment
• Relevant degree or tertiary risk/legal/or compliance related qualification from a reputable institution
• RE5 (advantageous) 
• Computer Literacy in MS Office and/ or other industry related packages
• Strong organizational skills, adept at managing multiple tasks and priorities
• Attention to detail, proficient with complex information
• Tech-savvy
• Excellent written and verbal communication   
• Ability to maintain confidentiality and handle sensitive information discreetly 

Desired Skills:

• Compliance Associate
• Financial Services
• Wealth Management