Compliance Associate

1 week ago

Sydney, New South Wales, Australia Brookfield Asset Management Full time
locations- Sydney, New South Wales- time type- Part 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 maintenance of the regulatory and compliance framework including compliance monitoring, advisory and administration responsibilities.
  • Assist with the implementation of new systems;
  • Work closely with the VP of the Legal & Regulatory team to drive the teams mandate across the Australian business.
  • Responsible for:
  • Lead the administration 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 reviews of external service providers;
  • Assist in the review 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;
  • Administration 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 RE boards;
  • Drive the attestation process and be responsible for its upkeep given its significance to the governance framework;
  • Assist the Compliance team to ensure that staff with AFS License and/or financial services responsibilities receive training on compliance related matters
  • Assist with the delivery of annual compliance training;
  • Carry out compliance reviews 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;
  • Work with the team to deliver special projects as identified from time to time;
  • Provide compliance support to other areas within the group that may have linkages to financial services activities from time to time;
  • Work with the Legal and Regulatory team to promote a culture of compliance at Brookfield.
  • About you
  • 2 to 3 years experience, preferably in a financial services or professional services company
  • Degree qualified preference for Business/Accounting/Law
  • Self motivated, adaptable and a keen to learn approach.
  • Work collaboratively to resolve compliance issues and make improvements to compliance and administration processes.
  • Attention to detail
  • Strong communication skills
  • 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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