Internal Auditor

1 week ago

Sydney, New South Wales, Australia Brookfield Asset Management Full time
locations- Sydney, New South Wales- time type- Full time- posted on- Posted Today- job requisition id- R Location

Sydney - 10 Carrington Street, Level 20

  • Brookfield Culture
  • Brookfield has a unique and dynamic culture. We seek team members who have a longterm focus and whose values align with our Attributes of a

Brookfield Leader:
Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.

Job Description:

  • About the role
  • To assist with the ongoing audit of the regulatory and compliance framework including compliance monitoring, advisory and administration responsibilities.
  • Make recommendations for the implementation of new systems.
  • Work closely with the Head of Internal Audit APAC and VP of the Legal & Regulatory team to drive the teams mandate across the Australian business
  • Responsible for:
  • Lead the audit of the Personal Trading Policy for the Australian office, including training, system maintenance, liaising with offshore counterparts and addressing staff queries
  • Assist with the maintenance of the compliance framework to ensure ongoing compliance with the conditions of the Australian Financial Services License (AFSL) obligations
  • Coordination and conduct audits of external service providers
  • Assist in the audit and development of compliance and risk related policies and processes
  • Maintain compliance related policies, procedures and processes and assist with the review of compliance related policies in consideration of regulatory, market and/or organisational change
  • Work with the team to maintain and execute the compliance monitoring program to drive an effective compliance framework including maintenance of the relevant compliance registers
  • Audit of the control selfassessment process used to monitor compliance activities
  • Monitor compliance with the compliance plans for each scheme and manage any issues arising from monitoring activity
  • Coordination of the preparation of compliance reports to various board of directors for APAC entities
  • Drive the attestation process and be responsible for its upkeep given its significance to the governance frameworkAssist the Compliance team to ensure that staff with AFS License and/or financial services responsibilities receive training on compliance related matters
  • Ensure employees have received and completed the annual compliance training
  • Carry out compliance audits including management of the compliance monitoring program
  • Participation in the AFSL external audits
  • Manage the Compliance administration including monitoring of the various dedicated Compliance mailboxes
  • About you 4+ years' experience, preferably in a financial services or professional services company
  • Bachelor's degree in business or law
  • Master of Laws, or equivalent
  • Experience filling reports with regulatory agencies
  • Experience managing internal AML and KYC programs, or as a consultant
  • Knowledge of global compliance programs within Asset Management
  • Strong communication skills, language skills a plus
  • Excellent organizational skills with a keen interest in administration
  • Ability to handle competing administrative priorities
  • Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment.

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