Compliance Manager

2 weeks ago

Melbourne, Victoria, Australia Succession Recruitment Pty Ltd Full time
Melbourne CBD based

  • Excellent working culture
  • Global awardwinning platform

What makes this a great company to work for?
***Our client offers seamless trading and investments in financial markets across the globe. With access to a range of trading platforms, across multiple tradeable instruments offered to several different account types they aim to provide an exceptional client experience, backed up by great pricing, execution, and customer support.

What will my day to day look like?
***You will be employed as a Compliance Manager, where you will be responsible for the management and continuous maintenance of a highly effective compliance framework for the business. Within this role, you will take accountability for various compliance functions, including market due diligence, AML/CTF program and the coordination of various projects and change initiatives.

You will also:

  • Use your strong AML knowledge to work with internal teams and department heads to ensure processes and procedures are accurate and compliant.
  • Work with internal stakeholders to promote a positive and open compliance culture.
  • Develop recommendations and solutions to enhance compliance, customer, and stakeholder outcomes in a commercial manner.
  • Perform compliance due diligence and ongoing oversight of outsourced service providers, including review of contracts and agreements.
  • Implement compliance controls and perform regular control testing.
  • Manage and develop the compliance team, to ensure measurable continuous improvement within the compliance function.
  • Liaise and lodge reports with regulators such as ASIC and AUSTRAC as required and serve as the AML CTF Officer. (e.g. Client Money, Derivative transaction reporting)
  • Report to the board on compliance related matters.
  • Review and assess potential Complaints, breaches, fraud, and suspicious transactions to the businesses, and facilitating control improvements.
  • Handling dispute resolution procedures, including assessing and responding to client complaints and AFCA as the Disputes Officer.
  • Creating and reviewing company policies and procedures to ensure compliance obligations with laws and regulations.
  • Creating and reviewing Client Legal documents
***
What skills/experience will I need?
***You have at least 5 years of compliance experience within the Financial Services space, with an excellent eye for detail, with prior AML, Policy and Procedure writing skills and preferably have drafted responses to regulators.

You also have:

  • Strong Computer literacy skills
  • Selfstarter
- ability to manage tasks and work to a define set of deliverables with mínimal direction.

  • Knowledge of financial services law
  • Experience within a management role, with a proven track record of high levels of staff engagement and output.
  • Excellent communication skills and relationship building skills.
  • Hardworking and motivated attitude
  • Tertiary level qualifications (e.g. Bachelor's degree) in relevant disciplines.

Even better if you have:

  • Qualifications in AML/CTF
  • RG146 qualification
  • Undergraduate degree in Law
  • Experience in OTC Derivatives compliance

Sounds great How do I apply?
*

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