Compliance Analyst

Ensure Compliance Protect Advisers Build Integrity in Financial Services

Staying compliant in finance is like navigating a well-charted course-precision, consistency, and the right guidance make all the difference. Work with a company that supports financial advisers with robust compliance solutions while valuing your time beyond the numbers. Here, your expertise is valued, and your personal time is non-negotiable.

Job Description

As a Compliance Analyst, you will monitor adviser compliance, assess risks, and ensure adherence to financial regulations. You'll review financial advice documentation, provide compliance guidance, issue reports, and support adviser training. Your role also involves maintaining compliance registers, assisting with policy development, and contributing to professional standards within the financial services industry.

Job Overview

Employment Type: Full-Time

Shift: Day Shift (Mon - Fri, 07:00 AM - 04:00 PM), Weekends Off

Work Setup: Hybrid, Cebu/Makati/Pampanga

Exciting Perks Await

• Day 1 HMO coverage with free dependent
• With sign-on bonus
• Competitive salary package
• Hybrid work arrangement
• Day shift schedule
• Fixed weekends off
• Prime office locations in Cebu, Makati and Pampanga (Conveniently accessible by PUVs, with nearby restaurants and banks)
• Unlimited upskilling through Emapta Academy courses (Want to know more? Visit )
• Free 24/7 access to our office gyms (Ortigas and Makati) with a free physical fitness trainer
• Exclusive Emapta Lifestyle perks (hotel and restaurant discounts, and more)
• Unlimited opportunities for employee referral incentives across the organization
• Standard government and Emapta benefits
• Total of 20 annual leaves to be used on your own discretion (including 5 credits convertible to cash)
• Fun engagement activities for employees
• Mentorship and exposure to global leaders and teams
• Career growth opportunities
• Diverse and supportive work environment

The Qualifications We Seek

Experience

• Minimum 3 years' experience in paraplanning or financial adviser compliance within Australia.
• In-depth and current knowledge of Australian Financial Services Licensees (AFSL) and industry regulations.
• Comfortable working hybrid in a collaborative office environment.

Skills & Competencies

• Proficiency in Iress/Xplan software.
• Excellent verbal and written communication skills.
• Strong computer literacy and time management skills.
• Ability to work independently with minimal supervision.
• Strong teamwork skills and ability to collaborate in a small team environment.
• Ability to meet deadlines and handle time-sensitive tasks efficiently.
• Flexibility to adapt to changing compliance regulations and business needs.
• Strong presentation skills for training sessions and group discussions.

Knowledge

• Relevant tertiary qualifications (required).
• Comprehensive knowledge of Australian financial services industry regulations and products.
• Understanding of information technology requirements and applications in compliance.

Interpersonal Skills

• Enthusiastic and proactive approach to compliance and risk management.
• Ability to maintain confidentiality and handle sensitive information.
• Strong interpersonal skills to engage with a diverse range of professionals.
• High level of motivation and self-discipline.
• Empathy and adaptability when working with various individuals and teams.

Values

• Uncompromising commitment to compliance and ethical business practices.
• Strong sense of honesty and integrity in all aspects of work.

Your Daily Tasks

• Monitor adviser compliance and risk management activities.
• Support Compliance Officers with day-to-day tasks.
• Utilize compliance and risk management technology to track, manage, and report emerging trends across the adviser network.
• Conduct pre-vetting of financial advice documentation for advisers as required.
• Prepare and issue reports while providing feedback to advisers.
• Support and oversee adviser-agreed remediation processes.
• Identify, escalate, and implement remedies for compliance concerns to prevent breaches.
• Ensure advisers adhere to regulatory and company compliance requirements.
• Provide compliance-related advice to advisers and staff in collaboration with the Compliance team.
• Participate in Professional Standards Committee meetings as needed.
• Assist in onboarding and induction programs for new authorized representatives.
• Maintain compliance registers to ensure accurate documentation.
• Contribute to the development and maintenance of operational policies, procedures, and risk management tools for the AFSL framework.
• Facilitate training sessions and presentations on compliance and risk management.
• Compile and prepare adviser training materials and reports.
• Provide coaching to advisers on compliance matters.
• Participate in and contribute to relevant ad hoc projects as required.

A Trusted Name in Financial Services Compliance

Navigating the financial landscape requires precision, and our client ensures advisers stay on course. As a leading Australian Financial Services Licensee (AFSL), they provide the backbone of support-compliance oversight, risk management, technology solutions, and marketing expertise. With a sharp focus on regulatory excellence and business growth, they help financial professionals mitigate risks, streamline operations, and deliver top-tier advice while staying ahead in an evolving financial industry.

Welcome to Emapta Philippines

Join a team that values camaraderie, excellence, and growth. Recognized as one of the Top 20 Dream Companies of Filipinos in 2024, Emapta stands proudly alongside industry giants, offering stability and exciting career opportunities. Work with global clients across industries in a culture focused on collaboration and innovation. We empower your success with opportunities for personal and professional development in an inclusive environment. Apply now and be part of the #EmaptaEra