Compliance Governance Senior Manager
Salary AUD120000 - AUD160000 per annum + bonus
Consultant Jonathan Berry
Date posted 26 August 2016
A leading asset management firm is looking for a Compliance Governance Senior Manager to develop and embed a new compliance framework.
Compliance Governance Senior Manager - Asset Management - $120k - $160k + Super - Sydney
A leading asset management company is looking for a Compliance Governance Senior Manager to provide advice and guideance to the business and associated entities in order to satisfy all external regulatory obligations and client contractual requirements.
To consider the implications of client contractual, legislative and regulatory requirements on the operation of the funds management business and undertake compliance monitoring procedures as necessary in the fulfilment of these compliance requirements
- Ensuring that all boutique funds for which this business acts as the responsible entity meet relevant risk and compliance legislation.
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Ensure current knowledge of changes to the Corporations Law and industry trends is maintained
- Assess the impact of legislative changes to the business, and ensure the business units are fully informed
- Assisting the Compliance Manager on all aspects of the Internal and External Audits - full business reviews, identifying control weaknesses, and implementing measures to address any weaknesses
Suitable candidates will possess:
- 4-8 years relevant compliance experience in financial services firm or advisory business
- Knowledge of laws and regulations relevant to the funds management industry, such as Corporations Act Chapter 5C, SIS prudential regulations and Chapter 7
- An appreciation of regulatory requirements for compliance within a fund manager
- Proven track record of working in a team environment
- Degree qualification in business, law or finance related discipline
- Excellent written and verbal communication skills
To apply please click apply or call Jonathan Berry on +61 2 8289 3210 for a confidential discussion.