Head of Compliance
Salary AUD140,000 - AUD180,000 per annum + Super + Bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 12 September 2018 2018-09-122018-10-12 banking 1 Farrer place Sydney 2000 Robert Walters Australia
This Head of Compliance role will offer candidates the opportunity to lead and manage compliance obligations across businesses within two AFSLs across the our clients group.
The products offered within the relevant business units include: securities, derivatives (ETOs, CFDs, margin FX CFDs, Futures), managed investments, margin lending, research and cryptocurrency.
- Managing all compliance and operational requirements for the companies operating under two AFSLs within the Group.
- Identify the key risks and conflicts within the relevant businesses and provide commercial solutions for managing and mitigating those risks.
- Assist Group Compliance to continually develop, promote and/or implement the Group’s compliance framework.
- Prepare or assist in the preparation of reports to the Business, Group, Committees and Boards.
- Working as part of the compliance team to continually improve the effectiveness of the overall supervisory and control framework.
- Providing practical compliance advice to the Senior Management Team and other employees as required.
- Understanding the regulatory landscape, staying abreast of regulatory change and understanding the impact on the Business.
- Supporting the group wide team and providing compliance guidance and advice.
- Designing, developing and implementing a testing and analysis framework work to assess the level of adherence to key rules and requirements across the relevant businesses.
- Assisting with or leading business development / other projects (as required).
- Providing an effective training program to all staff within the relevant businesses.
- Reviewing / enhancing the various corporate governance policies and procedures within the relevant businesses.
- Ensuring incidents and breaches are appropriately assessed and reported to the regulators in a timely fashion and responding to further requests for information as required.
- Liaising with internal and/ or external audit as required.
- 5+ years in a financial services compliance role
- Degree qualified (economics, commerce, law, finance)
- Experience in securities, derivatives and research (at a minimum)
- Intermediary broking experience
- Worked in a fast-paced / dynamic environment
- Designed and implemented a governance framework to support the AFSL obligations
- Demonstrated to be a team player and strong stakeholder management skill
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.