Senior Compliance Manager
Salary AUD140,000 - AUD170,000 per annum + Super + bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 26 November 2018 2018-11-262018-12-26 banking 1 Farrer place Sydney 2000 Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
The Senior Compliance Manager reporting into the Head of Compliance who is responsible for supervision of the Compliance function in APAC Markets.
The Senior Compliance Manager will assist with all monitoring & surveillance, market conduct, rule mapping, investment suitability, regulatory change and policy setting. Reporting directly to the Head of Compliance.
- Manage Regulatory Compliance for the ASIC licence and NZ FMA licence, AUSTRAC registration for Australian businesses, including Compliance requirements for Corporate Authorised Representatives
- Contributes to the alignment of legislative and regulatory frameworks with internal practices, policy, business models provides specialist advice, manages associated operational/regulatory risks and liaises with regulators, industry association, internal stakeholder community and other stakeholders (partners, authorised representatives) in order to optimise outcomes.
- Providing significant day to day decisions that affect the business and recommendation to senior management directly involved in overseeing the provision of financial activities in respect of its general licensing obligation of the Australian entity.
- Ensure the business activities comply with AFS license conditions, statutory and regulatory obligations including AML obligations.
- Promote a compliance culture through training and education of the workforce
- Manage and champion continuous improvement across the compliance/ Ops risk framework
- Lead Ops risk management controls and risk identification/ conduct monitoring such as regular compliance spot reviews
- Conduct regular employee and representative surveillance
- Prepare and lodger ASIC and other regulatory documentation
- Minimum 5-8 Years’ experience in compliance from a Financial Services firm or from Regulator
- Have a great sound understand of financial markets especially FX, Commodities, Futures,
- Understand all regulatory reporting requirements such as CRS, FATCA, OTC, AML reporting requirements
- Have very good experience in drafting, testing, implementing policies control frameworks
- Project management experience essential; he/she will almost certainly have transformed functions within his/her previous organization(s).
- Preferred to have a qualification in AML such as a diploma in AML or have a great understanding of AML in Australian and New Zealand and have worked in roles in which AML is a big part of.
- RG146 preferred but not essential
- Connectivity to relevant industry associations or other policy influencers an asset.
- Proven ability to manage both BAU and significant change simultaneously and effectively.
- Strong analytical skills and an aptitude for assessing risk.
- Thorough understanding of what makes a 'best in class' control environment; strong ability to engage with senior stakeholders; excellent communication skills and obvious passion for the role.
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.