Internal Auditor
7 months ago
locations- Sydney, New South Wales- time type- Full time- posted on- Posted Today- job requisition id- R2032994- Location
Sydney - 10 Carrington Street, Level 20
- Brookfield Culture
- Brookfield has a unique and dynamic culture. We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.
**Job Description**:
- About the role- To assist with the ongoing audit of the regulatory and compliance framework including compliance monitoring, advisory and administration responsibilities.-
- Make recommendations for the implementation of new systems.-
- Work closely with the Head of Internal Audit APAC and VP of the Legal & Regulatory team to drive the teams mandate across the Australian business.- Responsible for:
- Lead the audit of the Personal Trading Policy for the Australian office, including training, system maintenance, liaising with offshore counterparts and addressing staff queries-
- Assist with the maintenance of the compliance framework to ensure ongoing compliance with the conditions of the Australian Financial Services License (AFSL) obligations-
- Coordination and conduct audits of external service providers-
- Assist in the audit and development of compliance and risk related policies and processes-
- Maintain compliance related policies, procedures and processes and assist with the review of compliance related policies in consideration of regulatory, market and/or organisational change-
- Work with the team to maintain and execute the compliance monitoring program to drive an effective compliance framework including maintenance of the relevant compliance registers-
- Audit of the control self-assessment process used to monitor compliance activities-
- Monitor compliance with the compliance plans for each scheme and manage any issues arising from monitoring activity-
- Coordination of the preparation of compliance reports to various board of directors for APAC entities-
- Drive the attestation process and be responsible for its upkeep given its significance to the governance frameworkAssist the Compliance team to ensure that staff with AFS License and/or financial services responsibilities receive training on compliance related matters-
- Ensure employees have received and completed the annual compliance training-
- Carry out compliance audits including management of the compliance monitoring program-
- Participation in the AFSL external audits-
- Manage the Compliance administration including monitoring of the various dedicated Compliance mailboxes- About you- 4+ years’ experience, preferably in a financial services or professional services company-
- Bachelor’s degree in business or law-
- Master of Laws, or equivalent-
- Experience filling reports with regulatory agencies-
- Experience managing internal AML and KYC programs, or as a consultant-
- Knowledge of global compliance programs within Asset Management-
- Strong communication skills, language skills a plus-
- Excellent organizational skills with a keen interest in administration-
- Ability to handle competing administrative priorities- Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment.
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