Internal Auditor

3 weeks ago

Sydney, Australia Brookfield Asset Management Full time

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 framework;
- Assist 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.

**Salary**: From $100,000.00 per year

Schedule:

- 8 hour shift

Work Location: In person

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