Compliance Analyst (Offshore)

3-5 years
13 days ago 1 Applied
Job Description

Job Description

Adviser Compliance and Risk Management monitoring

Support our Professional Standards -Compliance officers through a range of day-to-day activities

Utilise relevant compliance and risk management technology and software provided by Capstone to monitor, manage, and report on current and emerging issues and trends across our adviser network.

Pre-vetting financial advice documentation for advisers as required

Prepare and issue written reports and provide feedback to advisers as required.

Support any adviser agreed remediation process.

Identify and escalate compliance concerns and ensure remedies are implemented to prevent continual breaches.

Ensure all advisers adhere to Capstone's requirements in the conduct of their business.

In conjunction with other members of the Compliance team provide advice regarding compliance queries from advisers and staff.

Participate in Professional Standards Committee meetings as requested.

Assist with Induction programs for new authorised representatives

Maintenance of Compliance registers as required

Assist with the development and maintenance of operational procedures / policies and tools to support the AFSL (Australian Financial Services Licence) risk management framework.

Adviser Training

Facilitate, Train or make presentations as required

Assist with compilation and preparation of adviser training materials / reports as required

Provide subject matter coaching to Advisers as required

Ad Hoc Projects

Participate in and contribute to the successful completion of relevant projects as required



Preferably minimum of 3 years experience in Para Planning or Financial Adviser compliance

Prior experience in dealing with financial advisers.

Extensive and up to date knowledge of Australian Financial services licensees and their advisers.

Experience with all aspects of Microsoft Office as well as other relevant software applications.

Skills and Competence

Experience in using Iress /Xplan software

Excellent verbal and written communications skills.

Strong computer literacy skills.

Time management skills.

Ability to work independently and with minimal supervision.

Ability to work in a small team

Ability to work to deadlines.

Ability to adapt to changing conditions - flexibility.

Ability to present to small and large groups of people.


Relevant Tertiary qualifications are essential.

Knowledge of Australian Financial services industry and products is essential.

Working knowledge of Information Technology requirements and applications.

Interpersonal Skills

Enthusiastic outlook.

Ability to maintain confidentiality.

Ability to deal effectively with a wide range of people.

Strong level of motivation.

Strong interpersonal skills.

Empathy with variety of individuals.


Uncompromising commitment.

Honesty and integrity.




Para Planning
enthusiastic outlook
Iress/Xplan software
ability to work in a small team
computer literacy skills
verbal and written communications skills
ability to work independently and with minimal supervision
uncompromising commitment
ability to present to small and large groups of people
empathy with a variety of individuals
Relevant Tertiary qualifications
Australian Financial services industry and products
ability to adapt to changing conditions - flexibility
ability to deal effectively with a wide range of people
Financial Adviser Compliance
ability to work to deadlines
ability to maintain confidentiality
strong level of motivation
Information Technology requirements and applications
Job Source:

Emapta is a leading offshore staffing and outsourcing company in the Philippines. Providing BPO services to clients from the US, AU and other countries.

Career Advice to Find Better