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Compliance Director
3 months ago
Who are u&u?
At u&u, we aim to connect job-seeking candidates with organisations that are going through growth or team changes. The consultants work with companies across a wide range of industries, and we represent candidates for temporary, contract and permanent employment.
Who are we partnering with?
u&u are proud to be partnering with a leading financial services organisation as they navigate through an exciting growth phase. This role will be the sole inhouse compliance position where you will manage end to end compliance on AFSL, AML/CTF, FIRB and other regulatory requirements, fiduciary obligations, governance and internal policies and procedures. You will work closely with the Head of Legal, the ELT and the risk division to shape a positive compliance culture with fit for purpose frameworks and controls.
What are the key duties?
- Identify and assess compliance obligations, implement controls, monitor compliance and manage non-compliance;
- Manage on-line compliance platform. Maintain registers and internal controls including reviewing, monitoring usage and improving. Manage quarterly staff questionnaires;
- Ensure currency of ASIC records relating to the AFSL and ACL;
- Assist with any change to the licenses;
- Develop, review and implement the Compliance Management Plan and other policies and procedures;
- Assume the role of compliance officer for conflicts, FIRB and other policies as required;
- Review disclosure, advertising and marketing material, including a regular flow of information;
- Secretarial duties for the audit risk & compliance committee, and assist with other committees as required; and
- Report to Audit Risk & Compliance Committee, and board as required.
Experience that would set you up for success:
- Tertiary qualification in law, risk, compliance or relevant discipline;
- Minimum 8 years experience in the financial services and/or funds management sectors;
- Experience managing external advisors;
- Experience working in a fast paced, high expectation environment, while maintaining attention to detail;
- Excellent understanding of AFSL and AML/CTF regimes, and fiduciary obligations;
- Analytical skills, able to dissect and articulate the key issues. Ability to grasp complicated situations quickly and apply regulatory framework;
- Good lateral thinker with a flexible and agile approach; and
- Ability to manage to deadlines and conflicting priorities.
How to Apply
For more information or a confidential discussion please call Georgia Atherton at u&u on or email quoting reference number 35805.
At u&u Recruitment Partners, we value diversity, equity and inclusion. We welcome applications from Aboriginal and Torres Strait Islander people, people with diverse cultural and linguistic backgrounds and people with disability.
Should you require reasonable adjustments throughout the recruitment process, we encourage you to make a request via or phone the above-mentioned u&u consultant to discuss. In response to these requests, we will collaborate closely with you to implement the appropriate adjustments.
Additionally, for a barrier-free and inclusive online experience, you can access u&u's opportunities using accessibility software Recite Me at
Please submit your resume in Word format only.
