Compliance Manager, Wealth Distribution

2 weeks ago

Sydney, New South Wales, Australia BeathChapman Pte Ltd Full time

Role Summary:
We are looking to fill a critical business-facing role in the 2nd LoD, to provide compliance support, advice and sign-off to Consumer Wealth Distribution. The role suits a confident compliance professional who can think on your feet and thrive in a busy and dynamic environment, consistently adding value to a group of Financial Advice stakeholders.

Your Responsibilities:

  • Play a crucial part in supporting Bank Wealth Distribution and Analytics, Digital and Marketing teams

  • Provide proactive and reliable compliance advice regarding advertising and distributingconsumer wealth products

  • Sign off periodic and ad hoc materials (customer & advisor facing) adhering to APRA, ASIC and OAIC guidelines

  • Perform compliance assessments to identify immediate and emerging risks and develop a framework for incidentsmanagement and on-going monitoring

  • Promote a rigorous, forward thinking and practical approach to the Group's Digital & Marketing Compliance Framework in line with regulatory changes

  • Perform targetedreviews of key risks and controls

  • Run workshops and compliance training to share learnings and best practice to both the Business and the Risk & Compliance teams

  • Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing tothe team's credibility

Skill Requirements:

  • 5 years of recent compliance, risk assurance or legal experience in Financial Service (preferablyin Wealth Management)

  • Degree qualified in Business, Finance, or Legal

  • Pragmatic operator who can thrive in a highly dynamic commercial environment and to get their hands dirty

  • Can think on your feet in the best interest for the business yet whilst remaining a strong compliance mindset

  • Strong project management and F2F stakeholder influencing skills

  • Understanding of relevant laws, regulations and regulatory guides underpinning a Financial Advice business (Corporations Act Chapter 7, Privacy Law, Conflict of Interest, ASIC Regulatory Guides, OAIC etc.)

For further information on this role or to confidentially apply, please send an up to date CV contactEugena Gongon or apply directly via theApply for this jobbutton. OnlyWORD FORMATresumes will be accepted.

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