Senior Compliance Manager
Salary AUD600 - AUD800 per day + Super
Location Sydney CBD
Consultant Matthew Hart
Date posted 30 September 2016
This market leading Financial Services firm requires a Senior Compliance Manager with 5+ years experience across wealth products to form part of the compliance team.
Senior Compliance Manager - Wealth Management - Sydney - $600 - $800 p/d
This Senior Compliance Manager role will involve providing advice and guidance to the Financial Services firm in order to satisfy all external and internal regulatory obligations.
The main deliverable will be assisting with building and managing the compliance framework encompassing external regulatory compliance, specific wealth legislation, such as the NCCP Act.
Duties will entail:
- To consider the implications of client contractual, legislative and regulatory requirements on the operations of the wealth business and undertake compliance monitoring procedures as necessary in the fulfilment of these requirements
- Assist the build of a compliance framework for the wealth business, including documentation and dissemination of relevant policy
- Ensure current knowledge of changes to the Corporations Act and industry trends is maintained, such as NCCP Act
- Assess the impact of legislative changes to the business and ensure the business units are fully informed; specifically, Privacy Act will be an area of focus
- Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards
- Assisting the Executive Committee on all aspects of internal and external audits, full business reviews, identifying control weaknesses, and implementing measures to address any weaknesses
Suitable candidates will possess:
- 5 years + relevant experience in a compliance position within financial services
- Knowledge of laws and regulations relevant to the wealth management industry
- Experience with insurance and superannuation
- Ability to build a compliance framework and lead a small team
- 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 Matthew Hart on 02 8289 3258 for a confidential discussion.