Head of Compliance

You will be joining a global fund manager as the Head of Compliance with involvement with senior stakeholders whilst also building a team within a high-performing, fast-paced environment.

About the Company

The company are a global fund manager with a focus on ETF products with a focus on collaboration, high-performance and fostering a dynamic environment.

About the Role

Responsibilities included:

• Oversee and maintain compliance frameworks aligned with Australian Financial Services License obligations.
• Ensure adherence to Australian and international regulatory requirements, including ASIC regulations, the Corporations Act, AML/CTF laws, and industry standards.
• Develop and enhance compliance programs, policies, and monitoring tools.
• Provide strategic regulatory advice to management and stakeholders.
• Lead compliance-related training and incident/breach reporting processes.
• Manage the review of marketing, product materials, and disclosure documents.
• Act as a key liaison with regulators, auditors, and external compliance service providers.
• Mentor and lead a small compliance team.

About You

You have:

• Minimum 10 years of experience within financial services compliance, ideally within investments or funds management
• Knowledge of ETF products
• Bachelor's degree in law business, finance or related field

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Phoebe Garrett on 02 8289 3134 for a confidential discussion.