Compliance Manager, Wealth Distribution Specialist
6 days ago
Job Summary:
We are seeking a seasoned Compliance Manager to join our team at BeathChapman Pte Ltd. As a key member of our organization, you will play a critical role in providing compliance support, advice, and sign-off to our Consumer Wealth Distribution business. This is an exciting opportunity for a confident compliance professional who can thrive in a fast-paced and dynamic environment, consistently adding value to our Financial Advice stakeholders.
Your Key Responsibilities:
- Support the Bank Wealth Distribution and Analytics, Digital, and Marketing teams in ensuring compliance with regulatory requirements.
- Provide proactive and reliable compliance advice on advertising and distributing consumer wealth products, ensuring adherence to APRA, ASIC, and OAIC guidelines.
- Sign off periodic and ad hoc materials (customer and advisor facing) to ensure compliance with regulatory requirements.
- Perform compliance assessments to identify immediate and emerging risks and develop a framework for incident management and ongoing monitoring.
- Promote a rigorous, forward-thinking, and practical approach to our Digital and Marketing Compliance Framework, aligning with regulatory changes.
- Perform targeted reviews of key risks and controls to ensure compliance.
- Run workshops and compliance training to share learnings and best practices with both the Business and Risk and Compliance teams.
- Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing to the team's credibility.
Requirements:
- 5 years of recent compliance, risk assurance, or legal experience in Financial Services (preferably in Wealth Management).
- Degree qualified in Business, Finance, or Legal.
- A pragmatic operator who can thrive in a highly dynamic commercial environment and take initiative.
- Ability to think on your feet in the best interest of the business while maintaining a strong compliance mindset.
- Strong project management and 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.).
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Sydney, New South Wales, Australia BeathChapman Pte Ltd Full timeJob Summary:We are seeking a highly skilled Compliance Manager to join our team at BeathChapman Pte Ltd. As a key member of our Compliance Department, you will play a critical role in ensuring the company's wealth distribution activities are in compliance with relevant laws and regulations.Key Responsibilities:Provide proactive and reliable compliance advice...
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Sydney, New South Wales, Australia BeathChapman Pte Ltd Full timeJob Summary:We are seeking a highly skilled Compliance Manager to join our team at BeathChapman Pte Ltd. As a key member of our organization, you will play a critical role in providing compliance support, advice, and sign-off to our Consumer Wealth Distribution business.Your Key Responsibilities:Collaborate with our Bank Wealth Distribution and Analytics,...
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