
Senior Compliance Specialist
2 days ago
Reporting to the Head of Compliance this role will act as a trusted Compliance advisor to the Managed Funds and ETF business stakeholders, leveraging your experience across investment products to provide compliance advice and challenge through:
- Continually assessing the regulatory requirements for responsible entity/business lines and suggesting courses of action for business leads to make informed decisions, whilst maintaining ongoing challenge on the sufficiency of documented controls.
- Supporting the Product and ETF Capital Markets functions in relation to product disclosures including target marketing determinations (DDO) and ASX listing requirements etc.
- Leading the review and maintenance of the Compliance Plan for managed investment schemes.
- Designing and maintaining policies and procedures to address identified compliance risks and fulfil compliance obligations that are useable for the business to deliver compliant outcomes.
- Assessing complex incidents and breaches and supporting the business in defining resolution and remediation.
- Working in collaboration with the Compliance Reporting Team to prepare Compliance reports and attend various steering committees and management meetings.
- Providing ongoing compliance training to business stakeholders as required.
Candidate Experience
We are seeking applications from experienced senior compliance professionals with relevant investment management / superannuation industry experience and expertise with particular exposure to managed funds and ETF product preferred.
You are highly driven and outcome oriented, possessing first class communication and presentation skills and a strong client focus. Furthermore, your ability to engage, influence and build strong working relationships with senior business stakeholders will be key to your success.
For a more information and a confidential discussion about this opportunity please contact Tim Carmichael at SMC Executive on 0409 154 322, otherwise to apply please click on the link below.
Qualifications- Experience in investment management / superannuation with particular exposure to managed funds and ETF product preferred.
- Strong communication and presentation skills with a client-focused mindset.
- Ability to engage, influence and build relationships with senior business stakeholders.
Note: The original posting included additional job-market listings and location notes which are not reproduced here to maintain a focused, compliant job description.
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