Senior Manager, Investigations and Compliance

Apply now Job no: 598371
Work type: Permanent Full Time
Location: Sydney
Categories: Risk & Compliance, Financial Planning (AMP)

About the role

Enterprise Risk Management is accountable for AMP’s ERM Framework, risk management capability and the provision of high quality advice, insight and support to our business partners.

In this role, you would be joining the Advice Compliance team who are responsible for managing adviser and licensee issues management, escalation and reporting in addition to insights, Trends, ASIC interactions and reporting.

Role specific capabilities

• Applying AMP Advice issues and consequences management framework.
• Identifying adviser risk profile and ensure that plans are in place to address risk and compliance matters impacting the Licensees.
• Conducting complex adviser investigations
• Working closely with Practice Managers or relevant respresentatives of Licensees to manage adviser compliance isses
• Analyse the Licensee impact from investigations including escalation to the Licensee Incident Panel where appropriate.
• Preparing a case summary on high risk adviser issues and present the matter at the relevant business forums and committees
• Ensuring all remedial actions for adviser issues are completed
• Coach, Guide and promote issues and consequences management frameworks both within AMP Advice Channel Services teams and the wider Advice Licensee businesses
• Foster strong and collaborative relationships with key stakeholder groups
• Drafting breach reports and updates for ASIC.
 
Experience required
• Minimum 5 years practical experience in a compliance, regulatory or legal function in the Financial services industry
• Ability to manage complex investigations
• Experience in developing, implementing and monitoring the operation of compliance programs (incl. behavioural and procedural aspects) is preferred
• Experience in project management – including the planning and implementation of projects/business change interventions
• Understanding of AFS licensing requirements
• Business analytics
• Sound knowledge of the financial services industry and financial planning environment
• Sound knowledge of relevant legislation and regulatory obligations relating to Financial Services and the provision of advice.

Qualification/s required
• Financial planning qualifications (DFP/DFS)
• ADFS/CFP and SMSF qualifications - preferred
• Tertiary qualifications in financial, legal or business disciplines highly regarded

Why AMP?

Working for AMP means working for a company that empowers its people to make a difference, while providing the support of a highly talented, experienced team. We understand that it is our customers that make us great. And because people achieve their best in different ways, our culture is flexible and supportive, to give you the freedom to focus on outcomes rather than just processes.

Our Culture
AMP is an organisation like few others. We enjoy a culture that recognises individuality yet encourages collaboration, giving real meaning to our work and making a difference to our people and our customers.

Benefits
Access a great range of benefits such as flexible working options, retail discounts, social club, onsite gym, competitive home loan rates, leading superannuation contribution, discounted financial advice and personal insurance.

Advertised: AUS Eastern Standard Time
Applications close: AUS Eastern Standard Time

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