Compliance Manager
3 weeks ago
Job Title: Compliance Manager
About the Role:
We are seeking a highly skilled Compliance Manager to join our team at Colonial First State. As a key member of our Group Compliance function, you will partner with our Chief Risk Officer team to advise, review and challenge our business.
Your Responsibilities:
- Provide compliance services across all of Colonial First State, including specialist superannuation and investments compliance advisory, obligation maintenance and management, Australian Financial Services Licence and Registrable Superannuation Entity licensing management, fit and proper requirements, conflicts of interest and other compliance related matters.
- Support continuous improvement in the Colonial First State Obligation Management Framework and Conflicts Management Framework (including the relevant Policies and Procedures).
- Assist with undertaking the annual review of Compliance Plans for Managed Investment Schemes.
- Provide Colonial First State and shareholder compliance and regulatory reporting.
- Provide regulatory landscape monitoring, reporting and support in implementation of regulatory changes.
- Be a trusted adviser to the Colonial First State business to provide clear and confident advice and recommendations relating to compliance matters, including in relation to compliance policies, obligations and conflicts of interest.
- Advising Colonial First State on the meaning of compliance obligations in relation to the financial services Colonial First State provides, reviewing and challenging the Colonial First State control environment to ensure Colonial First State meets compliance with the relevant obligations.
- Assist in preparing insightful compliance reports with a particular focus on obligation management and conflicts management status, trends and emerging risks.
Your Skills and Experience:
- Demonstrated experience working within a Compliance function or other broader Group Compliance functions is highly preferred.
- Experience in maintaining compliance frameworks including Conflicts of Interest, Compliance Obligations and Controls and undertaking annual review of Compliance Plans.
- Good knowledge of the wealth management industry including superannuation and funds management and surrounding regulatory landscape.
- Excellent stakeholder management skills with proven ability to influence.
- Ability to work in a transforming environment and adapt quickly.
- Commercial orientation balanced with proven technical expertise resulting in pragmatic and relevant business risk management outcomes.
- Relevant qualifications (Business, Law, Finance, Economics or Accounting) is essential. Recognised relevant professional certification/accreditation (e.g. CPA, CA, CFA, CFP, DipFS, RG ) is highly desired.
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