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Contact Us

Truly global and proudly local, we've been serving Australia for over 25 years with offices in Adelaide, Brisbane, Melbourne, Perth, and Sydney.

Get in touch

Legal and Compliance Manager

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You will be joining a leading alternative investment manager as the Legal and Compliance Manager working closely with the executive leadership team and broader business stakeholders within a growing and dynamic work culture.

About the Company

Our client is a fully independent wealth and asset management firm committed to providing the highest quality solutions to financial clients across the Asia Pacific. They pride themselves on their genuinely entrepreneurial approach coupled with the very highest standard of leadership.

About the Role

Responsibilities include:

  • Manage key regulatory risk through appropriate level of controls over the business
  • Review, develop and oversee ethical practices, internal policy, and legal and regulatory requirements implementation
  • Optimise the performance of the Policy & Regulatory framework working and reporting directly to the board of directors
  • Conduct internal audits to ensure compliance with internal policies and external regulations
  • Address any compliance issues identified during audits
  • Maintain all compliance, regulatory registers and internal system
  • Direct liaison with regulatory bodies as required
  • Design and distribute compulsory training schedule covering all business lines ensuring staff are aware of compliance requirements and ethical standards

About You

You have:

  • Current legal qualifications and practising certificate
  • Sound knowledge of principles and practices of license obligations and compliance standards
  • Up-to-date with regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX, FMA, FAA)
  • Good understanding of both ACL & AFSL licenses
  • Knowledge in financial services including lending, financial markets and products

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.

Contract Type: FULL_TIME

Specialism: Legal

Focus: Financial Services

Industry: Legal

Salary: Attractive Salary Package

Workplace Type: Hybrid

Experience Level: Mid Management

Location: Sydney

Job Reference: 1976880/001

Date posted: 4 June 2024

Consultant: Phoebe Garrett

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