Superannuation & Partnerships

Compliance Manager

Sydney, New South Wales
Work Type: Part Time

We are very excited to bring this newly created Compliance Manager role to market, initially working 2 days a week, the successful candidate will be integral to the future growth of Stockspot as we launch a new financial offering to the Australian Market.   

 

 

Goals you'll achieve 

 

In addition you will:

  • Create and implement Stockspot’s compliance framework aligned to our core values and executed in accordance with all regulatory requirements.

  • Apply your expert capabilities and knowledge of the Australian legal and regulatory environment to create client first solutions that meet and exceed our obligations. 

  • Be part of the team that enables Stockspot to achieve our vision of being the number one most trusted way to invest and achieve our mission of helping everyday people live more fulfilled lives.

 

What you’ll do


  • Create, implement and update policies, processes and procedures to ensure that Stockspot is at all times meeting or exceeding its regulatory obligations. 

  • Create and deliver quarterly reporting, attestations, compliance and monitoring requirements for Stockspot new business including working closely and managing outsourced partners, board, trustees and external regulatory reporting requirements. 

  • Engage and liaise as the key contact with a legal consultant/team - always ahead of the curve on new ideas and regulatory trends in relation to the wealth management industry.

  • Training for staff around guidance on advice (general and investments), maintaining ongoing RG146 training and  good practice guidance on promoting Stockspot’s products and services. 

  • Participate in relevant regulatory consultations by preparing and reviewing submissions on proposed regulatory change in conjunction with Stockspot’s CEO.

  • Develop and maintain relationships with the business, regulators, industry bodies, external auditors and all relevant internal and external stakeholders.

  • Work with our team and third parties to ensure offer documents and regulatory guides, such as PDSs, FSG, DDO and TMD continue to comply with the law.

  • Assist in carrying out Stockspot’s licence obligations.

  • Assist with regulatory audit programs as well as any compliance validation and certification processes (including compliance plans and audits).

  • Manage breaches and incidents and recommend potential controls.

  • Review a variety of content to ensure we are meeting our compliance obligations.


What we are looking for

  • Degree qualified in law, finance, accounting or business.

  • Financial services experience in compliance or legal roles within asset management.

  • Experience with creating and implementing compliance plans, writing policies and managing relationships.

  • Passion for championing the consumer, making the complex simple and valuing honesty and consistency.

  • Thorough knowledge and application of the legal and regulatory environment as an AFSL holder and financial advisor.  

  • Entrepreneurial mindset focused on delivering both growth and execution with a resolve for finding an efficient and effective way. 

  • A driven, organised person that is eager to achieve deadlines while ensuring attention to detail.

  • An excellent communicator, who is highly collaborative and enjoys building relationships in all circumstances.

 

Who is Stockspot?

 

Stockspot is a part of the growing FinTech Industry, we were the first Robo adviser in Australia and have continued our rapid organic growth journey over the past 7 years. 

 

Our mission is to help people invest in a way that is easy, safe & consistent so that they feel confident to achieve their financial dreams.  We do this by providing low cost automated financial advice through a digital product that is continuously rated by our clients as easy and simple to use.

 

Stockspot currently manages over $600 million dollars on behalf of our 12,000 clients. We are able to successfully manage this with a small team of 20 people, given technology does a lot of the heavy lifting.  

 

We have a supportive, friendly, and close-knit team, we expect honesty, consistency, simplicity and to be a consumer champion in every interaction with each other, our clients and our partners.   Stockspot has many other staff benefits we would love to tell you about. If this our company and this role sounds like you please reach out for a chat.

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