Head of Compliance

2 weeks ago

Sydney, New South Wales, Australia ROBERT WALTERS AUSTRALIA Full time

You will be joining a global fund manager as the Head of Compliance with involvement with senior stakeholders whilst also building a team within a high-performing, fast-paced environment.

About the Company

The company are a global fund manager with a focus on ETF products with a focus on collaboration, high-performance and fostering a dynamic environment.

About the Role

Responsibilities included:

  • Oversee and maintain compliance frameworks aligned with Australian Financial Services License obligations.
  • Ensure adherence to Australian and international regulatory requirements, including ASIC regulations, the Corporations Act, AML/CTF laws, and industry standards.
  • Develop and enhance compliance programs, policies, and monitoring tools.
  • Provide strategic regulatory advice to management and stakeholders.
  • Lead compliance-related training and incident/breach reporting processes.
  • Manage the review of marketing, product materials, and disclosure documents.
  • Act as a key liaison with regulators, auditors, and external compliance service providers.
  • Mentor and lead a small compliance team.

About You

You have:

  • Minimum 10 years of experience within financial services compliance, ideally within investments or funds management
  • Knowledge of ETF products
  • Bachelor's degree in law business, finance or related field

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Phoebe Garrett on for a confidential discussion.

Come join our global team of creative thinkers, problem solvers and game changers. We offer accelerated career progression, a dynamic culture and expert training.

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