Compliance Senior Manager/Manager
Salary AUD120,000 - AUD160,000 per annum + Super + bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 11 January 2019 2019-01-112019-02-07 banking Sydney CBD New South Wales AU AUD 120000 160000 160000 YEAR Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
The Company has matured and grown to the point where a Compliance Senior Manager/Manager is required to lead the compliance department and steer the Company through uncertain regulatory requirements.
- Oversight and responsible for compliance within the Australian market
- Reporting to the board, compliance and risk committees
- Dealing with and promoting good relationships with regulatory authorities
- Policy design, development and implementation
- Continuously review the effectiveness of the Compliance program and recommend opportunities for improvement/enhancement to the Compliance committee
- Coordinate independent audits and internal testing of the effectiveness of the Compliance program and take corrective actions to address audit deficiencies
- Reporting to the Compliance Committee, develop, implement and maintain regulatory compliance programs in accordance with respective licensing obligations
- Review ASIC Regulatory Guides, Treasury consultation papers, and relevant legislation
- challenge and educate the business units on regulatory change and best practice
- Responsible for the review and sign off of the Financial Services Guide (FSG), Product Disclosure Statements (PDS) and other various marketing materials
- Promote a strong culture of Compliance by providing ongoing compliance and AML/CTF training, support and advice to all staff
- Develop and document business processes
- Minimum 5-8 Years’ experience in compliance from a Financial Services firm or from Regulator
- Have a great sound understand of financial markets.
- 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.
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.