Senior Compliance Professional

2 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $160,000 - $180,000

We are seeking a highly experienced and skilled Senior Compliance Manager to join our team at a leading organization.

Key Responsibilities:
  • Develop, implement, and maintain a comprehensive compliance framework, plan, and program to address legal and regulatory requirements specific to the company and the superannuation industry.
  • Provide strategic leadership to the compliance team and ensure they have the resources and guidance needed to fulfill their responsibilities.
  • Monitor and interpret regulations and industry standards as they apply to the company.
  • Manage relationships with regulatory bodies, industry associations, and key stakeholders with respect to key compliance matters.
  • Establish and manage a compliance monitoring and reporting system to ensure the company's adherence to all its compliance obligations, including the mapping of the compliance obligations to controls.
  • Maintain the company's AFS license and the arrangements with its authorized representatives.
  • Assess potential compliance risks, and develop and implement risk mitigation strategies and action plans.
  • Work with relevant teams to develop and conduct a compliance training program to ensure awareness and understanding of the company's compliance obligations.
  • Review and update compliance policies, procedures, and manuals to reflect any changes in regulations, legislation, and industry standards, ensuring these are communicated effectively.
  • Oversee investigations related to compliance breaches or concerns and prepare comprehensive reports for relevant parties (internal and external).
  • Coordinate and participate in compliance audits and testing to assess the effectiveness of the compliance program.
Requirements:
  • Bachelor's degree in business, law, or a related field; a master's degree or relevant professional certification is preferred.
  • Experience working in the superannuation (preferred), managed funds (nice to have) and financial services industry (must have).
  • Strong understanding of Australian financial services regulatory frameworks and compliance obligations.
  • Demonstrated experience in developing and implementing compliance strategies and frameworks.
  • Previous experience in a leadership role.
  • Strong knowledge of industry-specific regulations and compliance standards.
  • Excellent communication, interpersonal, and leadership skills.
  • Ability to work effectively in a collaborative, team-oriented environment.
  • Strong problem-solving and critical-thinking abilities.

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