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Compliance Associate

2 months ago

Sydney, Australia Brookfield Asset Management Full time

locations- Sydney, New South Wales- time type- Part time- posted on- Posted Today- job requisition id- R2031883- 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 maintenance of the regulatory and compliance framework including compliance monitoring, advisory and administration responsibilities.
- Assist with the implementation of new systems;
- Work closely with the VP of the Legal & Regulatory team to drive the teams mandate across the Australian business.
- Responsible for:

- Lead the administration 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 reviews of external service providers;
- Assist in the review 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;
- Administration 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 RE boards;
- Drive the attestation process and be responsible for its upkeep given its significance to the governance framework;
- Assist the Compliance team to ensure that staff with AFS License and/or financial services responsibilities receive training on compliance related matters
- Assist with the delivery of annual compliance training;
- Carry out compliance reviews 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;
- Work with the team to deliver special projects as identified from time to time;
- Provide compliance support to other areas within the group that may have linkages to financial services activities from time to time;
- Work with the Legal and Regulatory team to promote a culture of compliance at Brookfield.
- About you
- 2 to 3 years experience, preferably in a financial services or professional services company
- Degree qualified preference for Business/Accounting/Law
- Self motivated, adaptable and a keen to learn approach.
- Work collaboratively to resolve compliance issues and make improvements to compliance and administration processes.
- Attention to detail
- Strong communication skills
- 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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