Compliance Adviser

About Morgans

Morgans is Australia’s largest full-service stockbroking and wealth management network providing a range of wealth management, investment advice and corporate finance services. We pride ourselves on our people, expertise, core values, and diversity.

The Opportunity

We are excited to share an internal opportunity to join the Compliance team as a Compliance Adviser. This vital role is key to upholding the highest standards within the Morgans branch and adviser network, ensuring strict adherence to guidelines and internal policies. Please note that travel to regional branches for audits is an essential part of this position.

Benefits

• Eligible to participate in bonus scheme
• Learning and development opportunities including Morgans’ Mentoring program
• Discounted financial services, health care, gym memberships & more
• Positive impact on the community through the Morgans Foundation and paid volunteer days

What you will be doing

• Provide compliance and regulatory education and training to new advisers and branch managers
• Conduct customised audits using information provided by the Compliance Analysts
• Manage breach consequences in collaboration with branch managers and advisers
• Monitor and supervise adviser and branch compliance with AFSL and ACL standards, Morgans policies and legislative and licensing requirements
• Perform risk analysis of branch, adviser, and business activities

What you will bring

• Knowledge of drivers for commercial, legal and regulatory environment – particularly ASIC, ASX and AUSTRAC
• Ability to analyse data and understand trading and settlement practices and trends in trading & clearing infrastructure
• Ability to understand the practical application of requirements within the Australian financial sector related to Morgans
• Self-motivated and deadline driven
• Client focused, engaging and approachable

Yes, I want to apply!

If you are interested in this role and would like to join the Compliance Team, please click apply and submit your application.