Senior Operations Officer - Start Immediately

Who are we?

Australian owned and listed on the ASX, Selfwealth is all about empowering investors to achieve their financial goals. With a flat-brokerage structure, and a user-friendly, intuitive platform we are committed to putting our investors at the centre of everything we do.

About the role

As the Senior Operations Officer you’ll manage the intricacies of onboarding, account maintenance, and stock transfers while ensuring alignment with regulatory requirements. By conducting risk assessment and mitigation, you ensure protection against compliance breaches, assist in risk management strategies, and staying updated on evolving regulations. Committed to delivering exceptional client experiences, you’ll provide support and advocate for customer-centric practices across the organisation.

Key responsibilities

Operations and Compliance

• Process onboarding, ongoing account maintenance, and stock transfers from other broker (issuer-sponsored and HIN shares)
• Review and verify ID documents for new clients who fail the electronic verification process.
• Oversee compliance and systems for the Selfwealth Client Platform and ensure accuracy in cash and stock movements.
• Monitor operational performance metrics and address any deviations from established standards
• Ensures compliance with regulatory requirements and internal policies regarding client information confidentiality.
• Conduct regular audits to identify potential compliance risks and implement corrective measures as needed.
• Work closely with the compliance team to ensure operational processes remain compliant.
• Assist in the development and implementation of risk management strategies to mitigate operational and compliance risks.

Client Support

• Identify and handle client complaints, high-risk transactions, and incidents promptly
• Provide support to Selfwealth clients throughout the onboarding process and address inquiries related to account maintenance.
• Champion customer-centric initiatives throughout the organisation to prioritise customer satisfaction and loyalty.

What you'll bring

• Demonstrated experience (3+ years) in day-to-day operations including member onboarding, account maintenance, and stock transfers.
• Broking and Corporate Actions experience also beneficial.
• Proven track record of ensuring compliance and overseeing systems for client platforms on finservices or wealth management platforms.
• Familiarity with AML/CTF and KYC
• Strong understanding of compliance requirements and risk management principles, with experience in ensuring adherence to regulatory standards.

We recognise the challenges of imposter syndrome and encourage those with unique insights to apply – your ideas could be the key to our team’s innovation and success.

Don’t let self-doubt prevent you from a great opportunity – we look forward to connecting with you.