Manager, Escalations, Advice Compliance -12 month contract

Apply now Job no: 600809
Work type: Fixed term - full time, Secondment
Location: Sydney
Categories: Risk & Compliance

Main Focus Areas

  • Investigating Licensee Incidents/Adviser Issues and presenting the case at the relevant forum/committee.
  • Assisting the Senior Manager, Escalations in ensuring the Advice Breach Committee, Adviser Issues Panel and Licensee Incident Panels are operating effectively and efficiently
  • Supporting the implementing and maintaining Licensee incidents and Adviser issues escalation framework
  • Assisting with the escalation of more serious Licensee incidents/Adviser issues to the appropriate internal compliance forum (i.e. Advice Breach Committee).
  • AMP Advice incident reporting / monitoring obligations under its compliance framework are fulfilled.
  • Remedial actions for Licensee incidents/breaches are completed in a timely manner including ensuring accurate record keeping.
  • Responding to standard regulatory requests (Australian Credit Licence’s annual compliance certificate, External Audits, APRA Forms 701 etc) where required
  • Promote issues and consequences management frameworks within the wider Advice Licensee businesses.
  • Collate Committee papers for Advice business

Ideally, we are looking for candidates with:

  • Tertiary qualifications in financial / business disciplines/ legal or equivalent
  • Ideally at least 3 years practical experience in a compliance, regulatory or legal function in the Financial Services industry
  • Experience in issues and incident management, including identification and investigation
  • Understanding of AFS licensing requirements
  • Sound knowledge of the financial services industry and financial planning environment including legislation and regulatory obligations 
  • Demonstrated strategic thinking with the ability to recognise and understand patterns, trends and connections
  • Persuasive and adaptive negotiating and influencing skills with the ability to deal with key stakeholders at all levels of the organisation
  • DFP/DFS highly regarded

About 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.

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

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