Regulatory Compliance Specialist

4 weeks ago

Sydney, New South Wales, Australia TMGM Full time

At TMGM, we are committed to excellence through a commitment to regulatory compliance, technological innovation, and unparalleled customer service. We are seeking a highly skilled Compliance Officer to join our team.

The successful candidate will be responsible for the application, management, and maintenance of overseas licenses. Reporting directly to the Compliance Manager, the incumbent will play a pivotal role in ensuring compliance with relevant regulations and standards.

Key Responsibilities:

  • Manage regulatory and licensing matters, including licencing application, variation, and related licensing reporting requirements.
  • Serve as the primary point of contact for all compliance-related inquiries and issues pertaining to the licenses under management.
  • Support internal and external audits, as well as regulatory reviews, by providing necessary documentation and information.
  • Stay updated on changes in regulations and ensure compliance with applicable laws and regulations.
  • Collaborate with cross-functional teams to develop and implement compliance policies, procedures, and controls.
  • Conduct periodic compliance assessments and reviews to identify areas for improvement and implement remedial actions as necessary.
  • Assist in the resolution of compliance issues, including the investigation of potential breaches and the implementation of corrective measures.

Requirements:

  • Bachelor's degree in finance, law, or a related field. Advanced degree preferred.
  • Minimum of two years of experience in compliance or legal roles, preferably in the financial services industry.
  • Strong proficiency in Microsoft Office suite.
  • Strong attention to detail and organizational skills.
  • Excellent communication and interpersonal abilities.
  • Ability to multitask and prioritize tasks effectively.

Benefits:

  • Celebrate your tenure with us. Receive generous milestone anniversary gifts that grow with each year of service.
  • Prioritize your well-being. Access our Flexible Spending Account (FSA) for various health and wellness needs.
  • We support you during difficult times. Receive one additional paid day off for each occasion of family bereavement.
  • Cherish life's milestones. Enjoy paid time off for your marriage occasion.
  • Welcome your newest family member with a special gift.
  • Invest in your growth. Access annual training opportunities tailored to your role.

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