Compliance Manager, Wealth Distribution

21 hours ago

Council of the City of Sydney, Australia BeathChapman Pte Ltd Full time

Role Summary:
We are looking to fill a critical business-facing role in the 2nd LoD, to provide compliance support, advice and sign-off to Consumer Wealth Distribution. The role suits a confident compliance professional who can think on your feet and thrive in a busy and dynamic environment, consistently adding value to a group of Financial Advice stakeholders.

Your Responsibilities:

- Play a crucial part in supporting Bank Wealth Distribution and Analytics, Digital and Marketing teams
- Provide proactive and reliable compliance advice regarding advertising and distributing consumer wealth products
- Sign off periodic and ad hoc materials (customer & advisor facing) adhering to APRA, ASIC and OAIC guidelines
- Perform compliance assessments to identify immediate and emerging risks and develop a framework for incidents management and on-going monitoring
- Promote a rigorous, forward thinking and practical approach to the Group's Digital & Marketing Compliance Framework in line with regulatory changes
- Perform targeted reviews of key risks and controls
- Run workshops and compliance training to share learnings and best practice to both the Business and the Risk & Compliance teams
- Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing to the team's credibility

Skill Requirements:

- 5 years of recent compliance, risk assurance or legal experience in Financial Service (preferably in Wealth Management)
- Degree qualified in Business, Finance, or Legal
- Pragmatic operator who can thrive in a highly dynamic commercial environment and to get their hands dirty
- Can think on your feet in the best interest for the business yet whilst remaining a strong compliance mindset
- Strong project management and F2F stakeholder influencing skills
- Understanding of relevant laws, regulations and regulatory guides underpinning a Financial Advice business (Corporations Act Chapter 7, Privacy Law, Conflict of Interest, ASIC Regulatory Guides, OAIC etc.)

We are an Equal Opportunities Employer and welcome applications from all qualified candidates.

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