Head of Australia Compliance and Risk
4 weeks ago
We are looking for a dynamic, high calibre **Head of Australia Compliance & Risk **to join our Regulatory Compliance team in Melbourne or Sydney, Australia. This role will manage the compliance and risk function for our Australian business, including managing a team of risk and compliance professionals. The incumbent will report to Head of APAC Compliance based in India.
**What are the ongoing responsibilities of this position?**
- Stay up to date on all Australian financial services regulations, Australian Corporations Act, AFSL, Risk Management, Breach Reporting, Privacy, AML/CTF, Internal Dispute Resolution
- Develop, implement, and maintain the compliance framework and compliance policies, procedures, and controls to ensure adherence to these regulations
- Lead and manage the Compliance & Risk team in Australia and ensure the team are high performing.
- Establish and maintain a compliance monitoring program to assess the effectiveness of compliance controls and systems and ensure all record management systems are kept.
- Liaise with compliance teams for specialist investment managers globally to design, implement and monitor compliance frameworks.
- Manage relationship with the Regulator - Prepare and submit regular reports on risk and compliance to regulators, and licensing authorities as required.
- Manage the Compliance Committee and Risk Management Committee - Chair the Risk Management Committee, reporting to the Board and Committees on the compliance and risk management frameworks. Act as the Chief Risk Officer and Privacy Officer for the Australian business.
- Liaise with the Legal Department on the interpretation of regulations and with the other relevant departments on implementation of regulations.
- Business advice and support - Partner with departments on business initiatives. Provide advice to management and staff on laws, regulations and industry best practices
- Product related support - Advice and support product launches, review marketing materials and financial promotions, PDS updates etc to ensure adherence to applicable regulatory requirements and industry best practice
- Provide compliance training to all employees to ensure an understanding of the Australian regulatory landscape and the importance of compliance.
- Coordinate with internal and external auditors.
- Establish and manage a robust breach reporting system and complaints reporting and process, ensuring timely and accurate reporting to relevant authorities. Coordinate internal investigations into compliance issues.
- Implement and maintain the company's risk management framework - Identify and assess enterprise and operational risks specific to the Australian business, and develop strategies to mitigate them, conduct internal risk assessments and monitor key risk indicators.
- Assist in developing and leading a strong risk culture within the business.
- Build industry networks through participating in Industry Associations and Forums.
**What **qualifications, skills and experience **would help someone to be successful?**
- 10+ years of risk and compliance experience within financial services, preference to asset management industry (experience in ETFs/ Alternative products/ Institutional business would be a plus)
- Tertiary qualifications in law, economics, business, commerce or related field-preferred.
- Experience working closely with regulatory organisations e.g. ASIC, AUSTRAC, AFCA.
- Exceptional relationship management and communication skills across all levels of stakeholders;
- Track record of delivery and execution of risk transformation and compliance initiatives.
- Strong technical knowledge in risk management
- Exposure in end-to-end development of risk frameworks across multiple lines of business (preferred)
- Strong analytical, problem-solving, and communication skills.
- Team management and leadership skills.
- Attention to detail and ability to implement systems and improve processes.
LI-APAC
MID_SENIOR_LEVEL
**What makes Franklin Templeton unique?**
In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of Total Rewards -the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.
We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.
We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals.
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