Associate Director Compliance
Role purpose:
To develop and implement a compliance framework across both the corporate and funds business that enables strategic insight, is integrated with the fund management process and provides investors and Hastings Board with awareness of the controls/processes in place to manage business risks and the effectiveness of those controls/processes.
Key accountabilities of the role:
- Develop and implement an appropriate compliance and risk management framework that governs Hastings role as manager and its fiduciary obligations to the investors including risk assessment, monitoring and escalations processes.
- Provide strategic and expert advice to the Board, CEO, Executive Committee and Managers on best practice compliance frameworks and processes.
- Balance cost and time efficiencies with design of effective compliance processes.
- Contribute to the formulation of the strategic direction for Hastings in respect of compliance (privacy and trade practices).
- Ensure compliance of business areas with relevant legal and regulatory obligations including continuous disclosure requirements for listed entities in which Hastings is responsible entity.
- Implement and manage processes in partnership with business areas to ensure license compliance conditions are met
- Forge effective relationships with:
- Westpac Management and relevant employees
- Relevant Boards
- Committees, - Facilitate the flow and exchange of information between Hastings and Westpac around issues that may have strategic, financial, regulatory and reputational significance to Hastings or Westpac.
- Help minimise risks which may arise from inconsistent approaches or policies within Hastings relative to the Westpac Group.
- Translate, expand and apply the agreed direction into strategies to ensure effective delivery of strategic outcomes, including:
- Identify emerging trends in compliance and how they may impact the business
- Putting in place systems to ensure that Hastings complies with Privacy and other legislation
Specific Capabilities:
- Detailed knowledge of general tools and techniques of compliance
- Enjoys a fast paced, constantly changing environment
- Is able to understand complex information and draft succinct documentation
- Has superior interpersonal skills and can build positive, stable relationships across all levels of business
- Has a high attention to detail and procedural compliance
- Is focused on delivering excellence to internal and external stakeholders
- Is prepared to work at building and contributing to an effective team
- Is comfortable with utilising current technology and assisting stakeholders if necessary.
Pre-requisites:
- Applicable Degree or higher qualification
- Minimum 5 years in similar role
- Cert IV in Workplace Assessment Training highly desirable
Hastings is
- Transformative by nature;
- Transparent and Respectful in all our dealings;
- Innovative by design;
- Agile and adaptive to market forces;
- Competitive in our actions.
Our superior performance is achieved through:
- Trusted partnerships and relationships;
- Leading edge market insight and thought leadership;
- Proven investment processes;
- Demonstrated governance protocols/fiduciary responsibility;
- An expansive global footprint.
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