Director, Compliance

3 weeks ago

Sydney, New South Wales, Australia Barings Full time
AU - SYDNEY - 60 CASTLEREAGH ST - BARINGS, Australia At Barings, we are as invested in our associates as we are in our clients.
We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.
Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients and customers.
Through active asset management and direct origination, we provide innovative solutions and access to differentiated opportunities across public and private capital markets.
A subsidiary of Mass Mutual, Barings maintains a strong global presence with business and investment professionals located across North America, Europe, and Asia Pacific.
Job Summary Director, Head of Compliance for Australia, is responsible for the day-to-day surveillance and oversight activities for the Firm's various compliance functions related to sales and distribution activities, investment activities and operations in Barings' various offices located in Australia.
This individual is responsible for the assessment of the Firm's conflicts of interest risks and is tasked with monitoring to identify potential breaches to prescribed policies.
This role requires the use of policies and procedures, an automated systems to mitigate these risks and comply with regulatory restrictions.
This position reports to the Global Head of Compliance and is a highly visible position within the organization, often interacting with members of the firm's senior management and staff at all levels.
The incumbent will also take a lead role in managing the Compliance Department's strategic planning process, including facilitating the completion of projects and elevating risks related to local operations in Australia across all lines of business.
The role is vital to the success of the organization's Compliance function.
Given the volume and types of investment activity and business operations that occur in Australia, it is important that there is adequate compliance coverage at all times.
This position will have a direct impact on the firm's ability to conduct business in accordance with applicable law, thereby protecting the firm from adverse regulatory exposure and minimizing litigation risk, as well as damage to the firm's industry reputation.
Primary Responsibilities Support the various lines of businesses to maintain an effective control framework and to ensure compliance with all applicable and relevant financial services laws and regulations in Australia.
Support the local Australian business to maintain compliance with internal policies, good market practices and industry standards.
Develop, update and maintain internal policies and procedures that align with AML/CTF regulations and monitor the implementation of AML and CTF systems and controls in Australia that are compliant with local regulatory requirements and the Firm's local Financial Crimes Prevention Program.
Ensure the compliance program remains current with regulatory changes and adapt it as needed for new products and/or services.
Providing advisory services to various lines of the business to ensure clear understanding of compliance risk exposure with the launch of all new and materially changed products.
Responsible for the surveillance and oversight locally in relation to Barings Global Code of Ethics and Barings various conflicts of Interest policies.
Responsible for supporting local sales and distribution efforts including the review of marketing materials and monitoring of sales activities.
Key contributor to Barings Regulatory Change Management, Horizon Scanning Program, Barings Code of Conduct and related escalation framework and whistleblower hotline.
Responsible for the oversight of key initiatives and regulatory requirements locally related to Cybersecurity and IT infrastructure including data protection, privacy and the use of artificial intelligence.
Act as a key point of contact for regulatory bodies, ensuring compliance with local requirements and being primarily responsible for regulatory filings and reporting.
Draft and maintain key policies and procedures relating to core topics.
Participate in or lead key department or corporate projects as needed.
Participate in various governance committees and regulatory examinations as needed.
Regularly monitor compliance and report findings (including patterns or trends that may emerge as part of surveillance reviews) across Compliance departments including global locations and recommend solutions and/or provide guidance to Compliance issues.
Develop and conduct training on specific rules and regulations to various stakeholders.
Qualifications Minimum 8+ years of compliance experience in financial services, with demonstrated understanding of ASIC regulatory obligations (experience with other global regulatory obligations such as U.
S.
UK, EU and/or Asia Pac is a plus).
Proven ability to translate complex regulatory requirements into practical business solutions.
Strong working knowledge of the provisions of applicable regulatory requirements related to both public and private assets chasses, investment advisers and various public and private fund structures.
Experience developing and maintaining compliance frameworks and experience monitoring and the implementing regulatory developments.
A legal education or qualification (and/or other advanced degree) is preferred.
Must be self-motivated and must possess the strategic skills to successfully assess, challenge, and influence business partners and internal professionals, including executive management and external regulators, often in difficult situations.
Excellent analytical, organisational and communication skills and proven positive interpersonal skills.
The individual must have a proven track record of demonstrating high integrity, good business judgment, perseverance and the ability to work without direct oversight; and must be able to engender the trust among the firm's senior managers and employees.
Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
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