Complete a business-wide gap assessment and update policies, procedures, disclosures, client journeys, contracts, registers, systems, training and records before launch; permit no retail activity before authorisation and formal readiness sign-off.
Maintain the compliance framework, obligations register, compliance calendar and core registers covering incidents and breaches, complaints, conflicts, representatives, training, marketing approvals and regulatory correspondence.
Responsibilities
Key responsibilities
Complete a business-wide gap assessment and update policies, procedures, disclosures, client journeys, contracts, registers, systems, training and records before launch; permit no retail activity before authorisation and formal readiness sign-off.
Maintain the compliance framework, obligations register, compliance calendar and core registers covering incidents and breaches, complaints, conflicts, representatives, training, marketing approvals and regulatory correspondence.
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