Posted on: 4/08/2017

Job type: Permanent

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Perth-based national operations
Part of larger financial services group
Development opportunity


Our client is an established and growing financial services specialist organisation part of a larger Australian services giant. Due to a new structure positioned for future development, we are supporting them to recruit for 2 experienced Compliance Officer.


Reporting to the National Compliance Manager, you will play a crucial team role to ensure compliance with key legislative and organisational systems and processes. The 2 positions are as follows:

Compliance Officer - Audit

  • Plan, organise and carry out file audits
  • Ensure risk failure/Breach register is maintained and all relevant paperwork filed
  • Analyse areas such as complaints and risk failures, provide reporting and ensure compliance reviewed and filed
  • Make recommendations of changes to procedures or practices based on audits
  • Report significant breaches to the Manager immediately
  • Proactively improve procedures and practices and report significant breaches
  • Ensure training and awareness of compliance requirements for all staff

Compliance Officer - Complaints/Marketing

  • Ensure all client and FOS complaints are dealt with in accordance with the policy and procedure
  • Maintain and ensure complaints register is current and all relevant paperwork filed
  • Analyse complaints and provide quarterly reports to the Risk and Compliance team
  • Review all marketing material, including but not limited to websites, flyers etc to ensure compliance
  • Maintain and ensure marketing register is current and all relevant paperwork is filed
  • Annually review existing websites, including checking all organisation names


You will possess excellent communication skills and the ability to learn new tasks quickly. Previous experience within compliance, audit and risk is essential, ideally within financial services. You take pride in your work and your outstanding strengths lie in time management, deadline management and attention to detail.


Please contact Ben Coulter (08 9323 0248) for a confidential discussion or apply online using the appropriate link below quoting reference 6B/17511. Your interest will be reviewed and responses from the week commencing Monday 7th August 2017.

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