Head of Compliance

2 weeks ago

Sydney, Australia UBS Full time

Australia
- Compliance
- Group Functions

**Job Reference #**
- 280203BR

**City**
- Sydney

**Job Type**
- Full Time

**Your role**
- Do you have experience with all compliance and regulatory matters related to asset management? Are you an experienced asset management compliance professional in Australia?
- We’re looking for a senior compliance professional to;- lead the Australian compliance and operational risk function for the Asset Management Australia business
- build trusted business partnerships and deliver effective independent challenge and risk assessment
- manage interactions and engagement with our regulators
- support business stakeholders on risk identification, mitigation and compliance with all applicable regulatory obligations
- proactively engage in Industry forums and working groups, providing advice and training to the business on regulatory and industry change / developments
- manage the framework in respect of the compliance plan for registered schemes, including reporting to the Responsible Entity Compliance Committee and monitoring of compliance plan controls

**Your Career Comeback**

**Your team**
- You will work in the Compliance and Operational Risk (C&ORC) AM team reporting into the Head C&ORC AM APAC. We provide a wide range of compliance and operational risk oversight and governance support services to Asset Management’s business sectors including retail funds and institutional mandates

**Your expertise**
- strong background and expertise in assessing and managing compliance and operational risks within an asset management business in Australia
- experience in leading and managing engagement and interactions with key regulators (for example, ASIC, AUSTRAC)
- track record of providing confident, clear and concise advice in the context of regulatory obligations in Australia
- excellent communication skills includes drafting (policies, reports, regulatory correspondence)
- ability to develop and deliver training programs and materials
- experience in managing a team, including developing and fostering talent and effective communication skills
- motivated and skilled at driving a proactive solution-orientated process
- reliable, pro-active, determined, self-motivated with a very high level of integrity
- able to manage and drive multiple and complex projects at any given time *#LI-TC1

**About us**
- UBS is the world’s largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.
- With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
- From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

**Contact Details**
- UBS Recruiting Australia

**Disclaimer / Policy Statements**
- UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce

  • Financial Crime Compliance

    4 weeks ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Funds Management - Sydney - Permanent / Full Time **25th January, 2023**: Global Financial Institution is currently seeking a Financial Crime Compliance & Privacy Manager. - 2nd line financial crime advisory role. - Assist in design, implementation and monitoring of financial crime risk framework, program and policy. - Provide support...

  • Financial Crime Compliance Manager

    1 month ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Other - Sydney - Permanent / Full Time **20th March, 2023**: ASX listed Financial Institution is currently seeking a Financial Crime Compliance Manager to join its growing team. - 2nd line financial crime advisory role. - Design, implementation and monitoring of financial crime risk framework, program and policy. - Provide support and...

  • Head of Apac Compliance

    4 weeks ago

    Sydney, Australia OFX Full time

    Company Description **Hi.** We’re OFX, a global provider of online, international payment services. We solve the complexity of moving money and enable better decisions. Headquartered in Sydney with offices worldwide, we’re a customer-focused business that is all about inspiring customer confidence. At OFX, you’ll have the opportunity to reach beyond...

  • Apac Head of Sales

    1 month ago

    Sydney, Australia Novum Global Full time

    We seek a Head of Sales for the Asia-Pacific region for our Regulatory & Compliance solution provider. This is a fantastic opportunity to work with the prized corporate, legal, government, accounting & academic sectors and play a pivotal role in strategically and operationally driving revenue growth and expansion in other industries. Australian Citizenship...

  • Head of Compliance

    4 weeks ago

    Sydney, Australia Fisher Investments Europe Full time

    Overview: Do you have a passion for securities-based compliance? Your experience and passion working within a world of always changing regulations will help provide guidance and direction to the business. You can be a part of Fisher Investments Australasia (FIA) within our globally diverse and growing privately held investment firm. **The Opportunity**: As...

  • Compliance Analyst

    4 weeks ago

    Sydney, Australia Ebury Full time

    Ebury is a hyper-growth FinTech firm, named in 2021 as one of the top FinTech's to work for by Glassdoor and AltFi. We offer a range of products including FX risk management, trade finance, currency accounts, international payments and API integration. **Role**: Reporting to the Australia & Singapore Head of Compliance & MLRO to enhance and further develop...

  • Compliance Manager

    1 month ago

    Sydney, Australia Perigon Group Full time

    Hybrid / WFH environment - Great salary, bonus and benefits - CBD location An excellent opportunity for an experienced Compliance Manager to join a prestigious Financial Services group. This is a unique Compliance Manager career opportunity to join a reputable & well established financial services firm. The company specialise within Wealth Management,...

  • Risk and Compliance Officer

    6 days ago

    Sydney, Australia Employ Full time

    3 years Risk or Compliance Experience required - Big four banking Assurance and Compliance, Risk Frameworks lines 1,2,3 - Reporting to the head of Risk and Compliance - Managed Risk in line 1,2,3 and managed risk frameworks and controls - Attend senior Stake holder meetings - Manage a dynamic and challenging environment - Build very strong relationships with...

  • Compliance Officer

    4 weeks ago

    Sydney Central Business District, Australia Mars Recruitment Full time

    We have currently engaged with a market-leading Australian mortgage and loan protection insurance firm that is looking for a permanent Compliance Officer to join the team. The role will report into the Head of Compliance/Risk and will work closely with the Compliance/Risk team to ensure compliance within the group’s risk/compliance framework is...

  • Head of Finance

    4 weeks ago

    Sydney, Australia Talent Web Full time

    High growth global SaaS based technology group - Broad Head of Finance role reporting to the CEO - $160,000 - $180,000 + superannuation + potential equity **Client**: Our client is a high growth SaaS based technology group with a global footprint. They are looking for a passionate Head of Finance to steer them through rapid expansion. **The Role**: As the...

  • Compliance Officer

    4 weeks ago

    Sydney, Australia ING Full time

    ING is proud to be recognised as Australia’s most recommended bank. We pride ourselves on being prudent, honest and responsible in all that we do and in this role as **Compliance Officer - Conduct Compliance and Culture, **you’ll oversee ASIC breach reporting, support our senior team of compliance advisors by uplifting our compliance management framework...

  • Compliance Officer

    4 weeks ago

    North Sydney, Australia Shift Full time

    **Company Description**: At Shift, we’re business specialists dedicated to helping Australian SMEs take control of their cashflow, streamline trade terms and choose the right financial products. We believe Australian businesses are the driving force behind our economy and are core to our communities. That’s why our business expertise, focus on...

  • Head of Risk Private Bank

    4 days ago

    Sydney, Australia Commonwealth Bank of Australia Full time

    Head of Risk Private Bank Chief Operating Office (COO) is responsible for the world leading operations across every aspect of CommBank, from innovative product platforms for our customers to essential tools within our business. We also use technology to drive efficient and timely processing, an essential component of great customer service. Within Chief...

  • Head of Advice

    4 weeks ago

    Sydney, Australia Profusion Group Full time

    Sydney CBD location with some travel required. - Manage a team of advisers and support staff - Attractive salary package **Company Overview** The Head of Advice role manages the Financial Planning team for a national, well-established organisation. The already successful Financial Planning arm is expected to undergo significant growth, this role will be...

  • Head of Finance

    3 weeks ago

    Sydney, Australia AXR Full time

    Broad Head of Finance role Genuine leadership opportunity Based in Sydney You will be joining an Australian business in the energy sector, playing a key role in leading their finance function through significant transformation and process improvement.   As their Head of Finance, you will support the Deputy CFO with compliance excellence, systems...

  • Head of Finance

    4 weeks ago

    Sydney, Australia Heinemann Full time

    For our office located at Sydney International Airport we are looking for a Head of Finance & IT. The Head of Finance & IT is a senior executive position in charge of managing the financial actions of the company whilst simultaneously leading the strategic management of IT functions. This role involves overseeing all aspects of financial and information...

  • Head of Finance

    4 weeks ago

    Sydney, Australia Charterhouse Full time

    **Head of Finance** - **5 days in the office **I **Fast Pace Environment **I **Opportunity for Development**: - **End-to-end 2IC leadership role** I **Interim Support**: - **$750 - $1,000 + super daily rate **I **4-month contract - with possible extension** A leading services and consulting business is currently seeking to hire an Interim Head of Finance...

  • Compliance - Expression of Interest

    1 month ago

    Sydney, Australia Commonwealth Bank Full time

    **Express your Interest in joining Commonwealth Bank's Compliance team.** Given CommBanks commitment to building a simpler, better bank, we are seeking expressions of interest from a number of levels including Senior Analyst, Manager, Senior Manager, Executive Manager and Head of. **Do work that matters**: Risk Management (RM) is responsible for developing...

  • Head of Legal, Patents

    5 days ago

    Sydney, Australia Mahlab Recruitment Full time

    Global Company, leadership role - Pharmaceutical industry experience preferred - Key role in transformational change This is an exciting role with a leading international healthcare and multinational innovation brand. As the General Counsel, you will be responsible for all legal patents and compliance services in Australia and New Zealand. You will work...

  • Compliance Officer

    3 weeks ago

    Sydney, Australia Fitzgerald Jenkins Recruitment Full time

    Banking & Finance Treasury and/or Risk Specialist Sydney Permanent / Full Time Utilise your previous Financial Markets / Funds Mgt experience Fantastic mentoring and collaborative team ASX listed Our client is a boutique ASX-listed financial markets firm looking to appoint an energetic and collaborative Compliance Officer on a permanent basis in...