Manager, Regulatory Response

Apply now Job no: 600686
Work type: Permanent Full Time
Location: Sydney
Categories: Risk & Compliance

Working for AMP means being part of a company that values diverse thinking, encourages collaboration and promotes innovation.  It’s an environment that offers challenging and exciting work as well as opportunities for professional growth. We’re flexible enough to allow you to make the most of your life, both professionally and personally. 

We are looking for those that have the courage and agility to navigate changing and complex environments so that we can deliver the best solutions for our customers. We value people with integrity, an innate willingness to help others and an eagerness to perform to the best of their abilities. 

About the Team

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.

About the Role

The purpose of the Advice Compliance team is to provide a dedicated first line risk and compliance function to complete oversight monitoring and supervision activity for all AMP Advice licensees.

The role focuses on responding to notices from the regulator, breach reporting of adviser and Licensee issues, liaising with the regulator in relation to ongoing investigations.

Key Responsibilities

  • Sourcing and analysing the Records and Books required for production under each ASIC Notice
  • Drafting the response to ASIC on behalf of the Licensees and ensuring compliance with the Notices
  • Escalating identified concerns through to internal teams for consequence management
  • Management of internal and external Key Stakeholder relationships
  • Trends and Insights Analysis
  • Reporting adviser misconduct to ASIC as identified through the AMP Advice Issues and Consequences management framework.
  • Reporting on adviser notices to internal stake holders

Capabilities & Experience

  • Financial planning qualifications (DFP/DFS)
  • Ideally at least 3 years practical experience in a compliance, regulatory or legal function in the Financial Services industry
  • Strong organisational and analytical skills
  • Ability to manage complex investigations
  • Understanding of AFS licensing requirements
  • Ability to extract and interrogate data from various sources
  • 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.

Your ADFS/CFP and SMSF qualifications/ Tertiary qualifications in financial, legal or business disciplines highly regarded

Wellbeing & Benefits

As a company that values wellbeing, we offer a range of great benefits to support you financially, professionally and personally. These include access to a wide range of flexible working options including the ability to purchase extra leave, retail discounts, onsite wellbeing centre including a gym (Sydney Office), Employee Assistance Program, competitive home loan rates, leading superannuation contribution, discounted financial advice and personal insurance.

Inclusion & Diversity

AMP recognises individual differences and welcomes people from a variety of life and work experiences. The diversity of our people is core to our ability to innovate, grow and to fulfil our collective aspiration of helping people to own their tomorrow. A natural curiosity, a respect for differences and a growth mindset are valued at AMP.

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

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