Compliance Manager – managed investments recruitment
Compliance Manager
Sydney CBD
$110,000 - $130,000 package + bonus up to 20%
Leading Financial Services Organisation
My client a leading financial services organisation is looking for an experienced Compliance Manager with specific exposure to managed investment schemes to bring their expertise to the table
The role also requires the oversight of the compliance processes for their registered managed investment schemes, the administration of the compliance training program, linking compliance obligations to operational procedures and conducting compliance checks.
The role will support and promote a 'risk aware' culture and 'risk aware decision-making', ensuring that the business owns the risks it takes with accountability at the right levels of management across the broad organisation.
Key responsibilities
- Continue to enhance compliance documentation linking compliance to processes within the business lines that support this requirement.
- Assist the Compliance Senior Manager in developing compliance frameworks in line with new and existing legislative requirements.
- Undertake monitoring processes within the business to ensure linkages between compliance requirements and processes are maintained.
- Maintain, collate and review AFSL checklists.
- Assist in creating, reviewing and / or implementation of new and existing policies.
- Assist the Senior Manager, Compliance in the development of enhancements to the Compliance framework.
- Review and maintain compliance plans for the Registered Managed Investment Schemes.
- Circulate, collate and report to the Senior Manager, Compliance on compliance plan checklists from internal and external stakeholders.
- Assist with the administration of the in-house online training system.
- Identify training opportunities.
- Assist the business in developing and designing procedures and processes to ensure compliance with RG 146 and RG 164 requirements
Ideal background
- Big 4 Consulting background preferred, but not essential
- Relevant experience (3 - 4 years) in a compliance role, preferably in the funds management, finance or banking industries
- Good understanding of financial markets and instruments
- Demonstrated ability to think, plan and act independently / strategically
- Sound report writing, presentation and verbal communications skills
- Demonstrated experience in establishing and maintaining effective stakeholder relationships at a range of levels across the organisation.
- A comprehensive understanding of financial instruments.
- Demonstrated experience or exposure to regulatory reporting requirements eg: AML/CTF etc.
- Experience in translating and interpreting regulatory obligations into business processes.
- Strong technical compliance knowledge.
- Those with a detailed working knowledge of Australian Standard AS3806 will also be highly regarded.
Closing date Monday 9th January
Please contact Emma Jane Hall for a confidential discussion on 02 8029 9120, or email your resume to emmajanehall@hydrogengroup.com.au
Hydrogen is one of the world's leading specialist recruitment groups, placing high quality professional staff into clients on a permanent and contract basis
Hydrogen International Limited is acting as an Employment Agency in relation to this vacancy.