Salary AUD110,000 - AUD125,000 per annum + Super
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 29 April 20192019-04-29 2019-05-29 banking 1 Farrer place Sydney 2000 Robert Walters
Our client is looking for a Compliance Manager; with existing asset/funds management experience to assist with the build out of the compliance framework.
The Compliance Manager will work directly with the Chief Operational Officer to ensure that all compliance regulatory requirements met and advise the business on all matters.
- Review, monitor, maintain and report in respect of the Compliance Plans for the Switzer Asset Management funds
- Operationalise Compliance Plans [plans adopted 1 July – work with Operations Manager, CFO, COO, Investment Team to ensure processes in place to meet obligations under the plans]
- Maintain all Compliance Registers including Complaints Handling, Staff Trading, Training, Breaches and Issues, Risk and investigate any non-compliance
- Educate and instil a “compliance culture” within the business
- Review and update business Policies and Procedures document
- Monitor compliance with the Policies and Procedures document
- Review and amend (where required) all policy documents across the business [corporate and funds]
- Ensure all necessary policies are in place
- Role requires a broad skill set and a desire to work in financial services business in the early stages of its growth phase
- Tertiary qualifications, preferably in the faculties of business, commerce, law and/or accounting)
- A minimum 4-years financial services experience within the funds management industry
- A deep and strong understanding of the compliance, risk and corporate governance
- Strong written and verbal communication skills
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.