Job no: 609356
Work type: Fixed term - full time
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 Advice Licensees. Conduct field based 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.
This is a 12 month fixed term contract opportunity.
- Delivery of the adviser audit program by completing adviser quality reviews, providing accurate feedback, and timely written reports to advisers within the AMP Licensees.
- Execution of the field based 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
- Advisers within AMP Licensess groups including AMP Advice
- Support for the complex audit team where required
- Adviser audits within Jigsaw businesses
- Investigate risk issues arising in Adviser Practices across the country or from thematics provided to audit for investigation.
- Proactively identify opportunities for improvement to the supervision and monitoring program.
Capabilities & Experience
- Sound knowledge of the financial services industry and financial planning industry and practice
- Sound knowledge and understanding of ASIC Regulatory Guides, Corportations Act, AUSTRAC expectations and other relevant legislation.
- Minimum 3 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
- Bachelor Degree
- Advanced Diploma of Financial Services (ADFS)
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: E. Australia Standard Time
Applications close: E. Australia Standard Time
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