Salary AUD160,000 - AUD200,000 per annum + Super + bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 2 December 20192019-12-02 2020-01-01 banking Sydney CBD New South Wales AU AUD 160000 200000 200000 YEAR Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Our client is an investment manager specialising in investing in Australian small, mid and large cap companies as well as global small cap and emerging market companies
This role reports to the Head of Legal and Compliance with a dotted reporting line to the Chief Operating Officer and the Board of Directors.
- Overseeing the maintenance and enhancement of policies and procedures to ensure compliance with the company’s Australian financial services licence conditions and relevant Australian financial services law, as well as other licensing requirements across Australia and the US, as relevant.
- Conducting the compliance plan review.
- Providing support with regulatory, audit and similar inspections.
- Overseeing the maintenance of the incidents, breaches and other compliance registers.
- Advising the business in relation to compliance requirements and providing compliance training to drive and encourage an effective compliance culture.
- Co-ordinating the timely and accurate completion of the formal risk & compliance monitoring program and controls testing framework, including reporting and escalation of findings.
- Regular reporting to senior management, the risk and compliance committee and the board of directors in relation to relevant compliance matters.
- Knowledge and understanding of financial services and licence obligations in Australia (e.g. ASIC requirements, responsible managers, AML).
- Comprehensive understanding of compliance and risk management practices and frameworks.
- Self-directed, professional, strong initiative and organisational skills.
- Knowledge of investment and funds management industry practices and procedures.
- Experience in working within a robust compliance framework across a funds management or financial services business.
- Experience in delivering advice to a range of internal and external stakeholders/clients.
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.