Senior Compliance Manager
Salary AUD120,000 - AUD150,000 per annum + SuperCONTRACTOR
Consultant Dylan Mountford
Date posted 31 October 2018 2018-10-312018-11-30 banking 1 Farrer place Sydney 2000
This Senior Compliance Manager opportunity will see you work across all business units coordinating our clients response on regulatory developments, includes coordinating with relevant stakeholders at the consultation phase to ensure risks are appropriately assessed and sufficient reporting is provided to senior stakeholders.
The Senior Compliance Manager will also be responsible for the co-ordination of regulatory interactions with ASIC to ensure responses are timely and complete, including reporting to senior management and the boards.
- Effective engagement across the business and industry to identify emerging risks and ensuring early escalation of issues
- Management of key processes and maintenance of associated registers, such as incidents & breaches, complaints, training, related party transactions, conflicts of interest, and risks registers
- Assisting with regulatory interactions such as licence applications/variations, Responsible Manager appointments, breach notifications and various ad-hoc requests
- Governance/Company & Committee Secretariat functions including production of agendas and minutes, convening and coordinating meetings
- Board, Committee and Management reporting
- 5+ years’ experience in risk and compliance management and financial services regulatory compliance and licensing
- A Graduate degree in either Law, Commerce, Economics, Finance or Business with excellent academic results
- Strong knowledge of financial services laws and regulations and their application in funds management businesses
- Exposure to offshore regulation and investment structures (UK/Europe, US, and/or Asia)
- Demonstrated ability to deliver advice to a range of internal and external stakeholders/clients
- Exemplary integrity, ethics, professionalism and resilience
- Effective and persuasive oral and written communication skills
- Aptitude for utilising technology to streamline and simplify processes
- That you are an Australian citizen or hold PR to be considered for this role
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.