Compliance Analyst

1 week ago

india EMAPTA Full time
Job Description

Unlock Your Potential: Join the Elite Team Shaping the Future of Financial Services

Since its establishment in 2002, our client has emerged as a prominent player in Australia's financial services landscape. As one of the country's leading Licensees, our client distinguishes itself by its independence; being privately owned and operated sets it apart from institutions like banks and fund managers. This autonomy empowers them to offer bespoke, adaptable solutions to its extensive network of financial advisers and accountants, a rarity in an era of institutional consolidation. With comprehensive in-house operational support, advisers under our client's umbrella benefit from a suite of services typically associated with larger institutional dealer groups. In an industry where providing genuine value is paramount, our client stands out as a trusted partner, equipping advisers and accountants to navigate an increasingly competitive landscape. Joining our client's team means becoming part of a dynamic organization committed to excellence and innovation in financial services.


Job Description
As a Compliance Analyst , you'll enjoy the unique perk of true balance between your professional and personal life. After your shift, free hours are yours to cherish, allowing you to focus on what truly matters outside of work. Join our team and support our client’s Compliance Analyst officers in their day-to-day activities. Utilize cutting-edge compliance and risk management technology provided by our client to monitor, manage, and report on current and emerging issues and trends across our adviser network.
Chart Your Course to Success:
Employment Type: Full Time
Shift: Day shift, Mon - Fri 06:00 AM - 03:00 PM
Work Setup: Onsite, Makati
Perks: Day 1 HMO, Above-market salary, Global exposure
Financial Guardianship: Safeguarding Compliance and Standards with Vigilance

Adviser Compliance and Risk Management Monitoring

  • Support our Professional Standards - Compliance officers through a range of day-to-day activities.
  • Utilize 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 authorized 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 License) 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.

Requirements

Numbers Ninja Wanted: Join Our Team and Crunch Some Serious Data

Experience:

  • 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.

Knowledge:

  • Relevant Tertiary qualifications are essential.
  • Knowledge of the 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 a variety of individuals.

Values:

  • Uncompromising commitment.
  • Honesty and integrity.

Benefits

Beyond the Bottom Line: Discover the Perks of Balancing Work and Life

  • HMO coverage upon hire
  • Day shift schedule
  • Prime office location
  • Work life balance
  • Standard government and Emapta benefits
  • 20 annual leaves to be used on your discretion
  • Direct exposure to international clients
  • Realistic career growth opportunities
  • Upskilling through Emapta Academy
  • Diverse and supportive work environment

Who are we?  

Discover a world of possibilities at Emapta , where your career takes flight in stability and growth. Join a team that thrives on camaraderie, supporting each other to achieve excellence together. Experience the satisfaction of being recognized for your contributions with competitive compensation packages that reflect your skills and commitment. Immerse yourself in a positive work culture that encourages collaboration, innovation, and personal development. We provide you with the platform for your success, empowering you to reach new heights in a supportive and inclusive environment. 

With a wide roster of international clients from various industries and a proven track record of success, Emapta offers a stable foundation for your career. Team up with like-minded professionals who are passionate about making a meaningful impact through premium global opportunities at your fingertips. Apply now and create a better future with us. 

#EmaptaExperience


Requirements
Numbers Ninja Wanted: Join Our Team and Crunch Some Serious Data Experience: 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. Knowledge: Relevant Tertiary qualifications are essential. Knowledge of the 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 a variety of individuals. Values: Uncompromising commitment. Honesty and integrity.

  • Compliance Analyst

    4 weeks ago

    India Norstella Full time

    Compliance Analyst Location: IndiaType: Full-time/permanentReporting to: Head of Employment Law, Litigation & Corp GovAbout NorstellaAt Norstella, our mission is simple: to help patients get access to live-saving therapies without delay.​ ​We turn that into reality by helping our clients navigate the complexities at each step of the drug development...

  • Compliance Analyst

    4 weeks ago

    india Norstella Full time

    Compliance Analyst Location: India Type: Full-time/permanent Reporting to: Head of Employment Law, Litigation & Corp Gov About Norstella At Norstella, our mission is simple: to help patients get access to live-saving therapies without delay.​ ​We turn that into reality by helping our clients navigate the complexities at each step of the drug...

  • Compliance Analyst

    5 days ago

    India Norstella Full time

    Compliance Analyst Location: India Type: Full-time/permanent Reporting to: Head of Employment Law, Litigation & Corp Gov About Norstella At Norstella, our mission is simple: to help patients get access to live-saving therapies without delay.​ ​We turn that into reality by helping our clients navigate the complexities at each step of the drug...

  • Chief Technology Officer

    1 month ago

    india Flexi Analyst Full time

    Company Description Flexi CTO is an upcoming product of Flexi Analyst. Flexi CTO will be a place for helping startups and enterprise to get Vetted CTO : Contract Role Description The Chief Technology Officer is responsible to define, planning, execute, maintain and own the overall IT landscape including various services in technology, software application...

  • Compliance Analyst

    5 days ago

    India EMAPTA Full time

    Job Description Unlock Your Potential: Join the Elite Team Shaping the Future of Financial Services Since its establishment in 2002, our client has emerged as a prominent player in Australia's financial services landscape. As one of the country's leading Licensees, our client distinguishes itself by its independence; being privately owned and operated sets...

  • business analyst compliance

    6 days ago

    India Blackridge Group Full time

    Job Description Business Analyste IT - Sujets Compliance Blackridge Group , société familiale spécialisée dans la mise à disposition de consultants spécialisés en IT, gestion de projets et Compliance, est à la recherche de son prochain collaborateur.Mission : Accompagner en tant que chef de projet / Business Analyst sur l'ensemble des projets du...

  • Senior CBAM/ LCA Analyst

    3 days ago

    India Acquis Compliance Full time

    Overview:Acquis Compliance is seeking a highly skilled and knowledgeable Carbon Border Adjustment Mechanism (CBAM) Specialist with at least one years of hands-on experience in the field with expertise in Life Cycle Assessment (LCA) and Scope 3 emissions calculation. The candidate will be providing expert guidance and solutions, ensuring our customers...

  • Senior CBAM/ LCA Analyst

    4 days ago

    india Acquis Compliance Full time

    Overview: Acquis Compliance is seeking a highly skilled and knowledgeable Carbon Border Adjustment Mechanism (CBAM) Specialist with at least one years of hands-on experience in the field with expertise in Life Cycle Assessment (LCA) and Scope 3 emissions calculation. The candidate will be providing expert guidance and solutions, ensuring our customers...

  • Senior Analyst/Analyst, World-Check

    2 weeks ago

    india Agensi Pekerjaan BTC Sdn Bhd Full time

    Job Description Open Position: Senior Analyst/Analyst, World-Check & Compliance (MNC Company) An MNC Shared Services Company is currently hiring a Senior Analyst/Analyst, World-Check & Compliance to come and join them in the Kuala Lumpur office.Key responsibilities include: l More than 3 years’ relevant working experience.l Having experience in the...

  • Anti-Money Laundering Analyst

    2 months ago

    India KYC4U - AML Compliance specialists Full time

    KYC4U KYC4U is an anti-money laundering verification (CDD) outsourcing provider to businesses in United Kingdom. The company specialises and works with real estate industry in UK to provide anti money laundering checks for deals carried out by estate agents. We are looking for a KYC Analyst to work as part of our home-based team spread all over India. The...

  • Anti-Money Laundering Analyst

    2 months ago

    India KYC4U - AML Compliance specialists Full time

    KYC4U   KYC4U is an anti-money laundering verification (CDD) outsourcing provider to businesses in United Kingdom. The company specialises and works with real estate industry in UK to provide anti money laundering checks for deals carried out by estate agents.   We are looking for a KYC Analyst to work as part of our home-based team spread all over...

  • Compliance Analyst

    1 month ago

    india Canadian Solar Inc. Full time

    KEY RESPONSIBILITIES: · Maintain our comprehensive compliance program and related projects · Perform ABAC and KYC due diligence on (potential) suppliers and customers and the necessary risk assessments · Ensure that an organization's operations and procedures meet government and industry compliance standards · Research regulations and policies,...

  • Compliance Analyst

    3 weeks ago

    india Murf AI Full time

    Company Introduction At Murf.ai , we're simplifying multimedia creation by harnessing the power of artificial intelligence. Our platform empowers users to craft high-quality voiceovers effortlessly, without the need for recording equipment. With a global reach spanning 150+ countries and over 4 million registered users, Murf.ai has experienced an impressive...

  • Compliance Analyst

    2 weeks ago

    India - Mumbai BP Energy Full time

    Entity: Gas & Low Carbon EnergyJob Family Group: Legal GroupJob Description: Let me tell you about the role !This role will independently handle compliance management process and ensure a robust compliance management system for all bp India entities through regularly interacting with business and taking initiatives to develop the process further. The role...

  • Content Compliance Specialist

    2 months ago

    india Taboola Full time

    Curious about what it’s like to work at the world’s number 1 discovery platform as a Content Compliance Analyst? We’re glad you asked! What is the key purpose of a Content Compliance Specialist? As a Content Compliance Specialist, you play a pivotal role in ensuring adherence to legal regulations and client-specific guidelines for content...

  • Senior Analyst/Analyst, World-Check

    5 days ago

    India Agensi Pekerjaan BTC Sdn Bhd Full time

    Job Description Open Position: Senior Analyst/Analyst, World-Check & Compliance (MNC Company) An MNC Shared Services Company is currently hiring a Senior Analyst/Analyst, World-Check & Compliance to come and join them in the Kuala Lumpur office.Key responsibilities include: l More than 3 years' relevant working experience.l Having experience in the...

  • Associate, Compliance

    3 days ago

    India BNY Mellon Full time

    **Overview** **Grade H - Senior Analyst - Surveillance Analyst** **Overview Of BNY Mellon** BNY Mellon is a global financial services company focused on helping clients manage their financial assets, operating in 35 countries and serving in more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and...

  • Sr. Analyst

    2 months ago

    india SMBC Group Full time

    Responsibilities Conduct Compliance testing and monitoring as per Head Office and RBI guidelines (including submission of Tranche data). Submit the report to Management and Local Management Committee. Carry out Compliance Risk Assessment and Compliance Action Plan on annual basis. Follow up with the Heads of the Department to...

  • Senior Compliance Analyst

    3 weeks ago

    india CES Full time

    CES has 26+ years of experience in delivering Software Product Development, Quality Engineering, and Digital Transformation Consulting Services to Global SMEs & Large Enterprises. CES has been delivering services to some of the leading Fortune 500 Companies including Automotive, AgTech, Bio Science, EdTech, FinTech, Manufacturing, Online Retailers, and...

  • Software Analyst

    6 days ago

    india Tech One IT Global Full time

    Company Description Tech One IT Global, a startup company, is seeking an experienced Software Analyst/Business Analyst with a strong background in web application development. Role Description This is a contract remote role for a Software Analyst. The Software Analyst will be responsible for analyzing software requirements, developing and executing test...