Complex Audit Consultant
Job no: 609234
Work type: Permanent Full Time
Location: Sydney, Melbourne
Categories: Risk & Compliance, Financial Planning (AMP)
Working for AMP
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.
We’re transforming our business, and we need people like you to join us on this journey.
About the role
The purpose of this role is to provide a critical focus on regulatory, risk and compliance issues impacting AMP. Conduct specialised audits and support the audit framework to provide superior planner risk & compliance services to AMP licensees ensuring high quality advisory audit services through regulation and supervision of planner practices.
- Execution of the complex audit program, to ensure:-
- Audits conducted within specified timeframes
- Remedial Action undertaken as specified
- Breaches are reported and action undertaken as per guidelines
- Constructive feedback provided to Advisers where necessary
- Typically audits will include
- Jigsaw Licensees
- BOLR transactions
- Due Diligence activity
- Higher risk advisers (determined from Key risk Indicators)
- Investigations into identified areas of risk
- In field support where required
- Investigate risk issues arising in Adviser Practices across the country or from thematics provided to audit for investigation.
- Support the audit manager to ensure audit materials including standards, questionnaires and auditor guides are maintained.
Capabilities & Experience
- Minimum 5 years practical experience in a legal, regulatory or compliance function in the Financial Services industry
- Financial planning business exposure preferred
- Sound knowledge of the financial services/financial planning industry and practice
- Sound knowledge of the principles of quality advice provision, regulatory and compliance obligation and risk management.
- Sound knowledge and understanding of ASIC Code of Practice, Corporations Act and other relevant legislation.
- A developed understanding of operational risk
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 Daylight Time
Applications close: AUS Eastern Daylight Time
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