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Group Compliance Manager

4 months ago

Sydney, New South Wales, Australia Bluefin Resources Full time
  • Leading Boutique Aggregator
  • Broker Recruitment & Management of Existing Broker Members
  • B2B Coaching & Support

Responsibilities:

  • Providing compliance services across all the group including specialist superannuation and investments compliance advisory, obligation maintenance and management, Australian Financial Services Licence and Registrable Superannuation Entity licensing management, fit and proper requirements, conflicts of interest and other compliance related matters.
  • Supporting continuous improvement in the Obligation Management Framework and Conflicts Management Framework (including the relevant Policies and Procedures).
  • Assisting with undertaking the annual review of Compliance Plans for Managed Investment Schemes.
  • Providing shareholder compliance and regulatory reporting.
  • Providing regulatory landscape monitoring, reporting and support in implementation of regulatory changes.
  • Advising the company on compliance obligations in relation to the financial services the company provides, reviewing and challenging the control environment to ensure the company meets compliance with the relevant obligations.

Requirements:

  • Experience in working within a Compliance function (particularly within the superannuation or funds management industry).
  • Experience or knowledge of managing frameworks including Policies and Procedures;
  • Experience in or knowledge of marketing disclosure requirements.
  • Good understanding of the regulatory landscape for wealth management, including superannuation, Responsible Entity.
  • Someone that will hit the ground running with the right attitude and have strong stakeholder management skills
  • Degree in either Business Management, Law, Economics or any related
  • CPA/CA/CFA or any equivalent qualifications is an added advantage

Consultant

Reference number: BBBH55464
Profession:Risk & ComplianceCompliance

Company: Bluefin Resources
Date posted: 3rd May, 2024