Analyst / Compliance

Business Analyst – Financial Advice and Compliance

Full Time

TIQK

Turning the world of Regulatory Compliance on its head

Tiqk is a leading financial advice regtech company based in the Sydney. We support financial advisers and licensees monitor advice quality, through leading-edge tech solutions.

Tiqk simplifies advice compliance. It will quality assure advice before the client receives it. This improves advice and reduces risks.

Our vision is to be the global gold standard software platform enabling financial services businesses to manage and mitigate risk through predictive compliance.

Established in 2016, we have gained a reputation for innovation and uniqueness, and we are making strong inroads into the financial services market.

We are entering a significant growth phase in our business. This will drive new clients and a demand on Tiqk to meet client demands with solutions for oversight.

We need to bolster our team with a high-quality Business Analyst – Financial Advice and Compliance to support Tiqk’s growth.

What you will be doing

The exciting stuff:

As far as we know, no-one is doing – or has attempted – what we do. We think everything we build is a unique way of solving a problem. So key to the role is:

  • Applying your financial advice knowledge to solving complex advice challenges using Tiqk’s technology.
  • Turning complex client requirements into practical solutions and doing it all with a strong focus on compliance.
  • Contribute to the development of our A.I. project by using your specialist knowledge and experience of the financial advice industry.
  • Assist with the development of analytics and B.I (Business Intelligence) projects, calling on your knowledge of licensee structures and adviser behaviours.
  • Support the onboarding of new clients, training them in their use and interpretation of the platform.
  • Operate effectively in an Agile workplace, to a two-week delivery sprint, which requires clear thinking on business need and expected outcomes.

The heavy lifting:

  • Review regulations to make sure Tiqk is keeping pace with regulator standards and industry best practice.
  • Do the detailed work in user stories and feature development. This includes drafting, testing and implementing them.
  • Help on-board new clients, which involves detailed configuration and testing
  • With our Data Scientist, work with our natural language and AI models to assess Best Interests and appropriateness of advice

And, all other tasks, as required:

We are a small business so we jump in and do what it takes. With lot’s going on, sometimes it’s “all in” to get things done.

What you need to be

  • Most importantly you need to be creative and imaginative! Our strength comes from challenging norms and attempting stuff that hasn’t been done before.
  • Be energetic with your ideas and approach to regulatory technology and the advice industry in general. Importantly, you’ll also be pragmatic to the development timeline and cycle
  • Clear and effective communicator.
  • Strong stakeholder engagement in a small business and client environment
  • Really strong team player, willing to put forward and challenge new ideas.
  • Commercial and practical thinker, who looks for opportunity as well as risk in situations.

Skills and experience required

  • Good understanding of AFSR regulatory environment, including legislative and regulatory framework, and industry best practice standards in advice monitoring and compliance.
  • Deep understanding of the financial advice processes and disclosures.
  • High level analytical skills to translate regulatory rules into simple, specific and detailed requirements.
  • Strong working knowledge of current Advice industry compliance and advice practices.
  • Exposure to, and comfort with, Agile work practices
  • A good understanding of how advice is constructed (for example, paraplanning practices, software, audit/vetting)
  • FP qualified, preferably ADFP
  • Familiar with Agile development and practices highly regarded
  • The ideal candidate has a minimum of 3-4 years experience either in the direct preparation of advice (Such as paraplanning), provision of advice (Such as an associate or financial adviser) or oversight of advisers in a compliance capacity.

This role offers a base salary, superannuation and staff incentives.

TIQK is an equal opportunity employer and provides a flexible work environment to support our team to thrive. For more info on our business, see TIQK.com

Tagged as: advice, analyst, business analyst, compliance, financial advice