Stockbroking | Wealth Management | Corporate Advice


Resizing text on the web

To increase or decrease the magnification of a web page, press Ctrl and '+' (plus) to zoom in or Ctrl and '-' (minus) to zoom out. To return the page to its original size, press Ctrl + 0.

You can also scroll the mouse wheel up and down while holding Ctrl to increase/decrease zoom level.

State Compliance Officer NSW

Location: Brisbane

Applications close: 7/14/2017 4:00:00 PM

The Morgans Legal and Compliance department is looking for a Compliance Officer to join our Brisbane team on a 12 month fixed term contract. You will be based in the Brisbane office, but the focus of the role is to ensure that the branch and adviser network in New South Wales and the Australian Capital Territory complies with Morgans AFSL, ACL and internal policies, procedures and guidelines.

Day-to-day responsibilities include:

  • Provide compliance and regulatory education and training to Advisers and Branch Managers.
  • Conduct customised audits from information provided by the Compliance Analysts.
  • Monitoring and supervision of Adviser/Branch compliance pursuant to the AFSL and ACL (this includes regular travel to branch offices both within New South Wales/Australian Capital Territory and interstate on a fill-on basis).
  • Liaise with and travel to appropriate branches (NSW & ACT) and Advisers to ensure that Morgans policies, licensing and legislative requirements are observed.
  • Managing breach consequences with Branch Managers and Advisers.
  • Build strong relationships with stakeholders, including legal and compliance team members to ensure cohesive implementation of policy.

The successful candidate will have:

  • Knowledge of the workings of Australian equity, derivatives and other financial markets.
  • Working knowledge of drivers for commercial, legal and regulatory environment – particularly ASIC, ASX and AUSTRAC.
  • Degree (or equivalent) in accounting/law/commerce/business plus a high exposure to the securities industry.
  • 3+ years experience in financial services risk, compliance or audit.
  • Ability to manage priorities in a fast paced environment and meet deadlines.
  • Exceptional attention to detail.
  • Experience in dealing with multiple stakeholders in a professional environment.
  • Strong problem solving and decision making skills.

The successful candidate will at times be required to travel to Morgans Offices around NSW and ACT (approximately once a month) and at times to other states. A full drivers license will be required for car rentals.

If you are confident and committed to providing high quality client service and would enjoy being part of a vibrant and fast paced team we would like to hear from you.

An attractive remuneration package will be negotiated based on experience.

To apply for this role, please submit your CV by email to

Applications will be treated with utmost confidentiality.