Financial Services Regulatory Expert

1 week ago

Melbourne, Victoria, Australia beBeeCompliance Full time $160,000 - $200,000
Job Title

We are seeking a highly experienced Compliance Director to lead our regulatory compliance program in Australia. This is an exciting opportunity for a skilled professional to join our team and contribute to the development of our business operations.

Key Responsibilities:
  • Regulatory Compliance Program Management: Manage the regulatory compliance program in Australia, including monitoring AFSL obligations, advising on compliance matters, and preparing regulatory reports.
  • Global Compliance Coordination: Coordinate with global compliance teams and liaise with regulatory bodies such as ASIC and AUSTRAC.
  • Compliance Guidance: Provide guidance on new products, business structures, and compliance policies.
  • Compliance Assessments: Conduct compliance assessments, manage internal controls, and oversee third-party due diligence.
  • Dispute Resolution: Review marketing materials and handle escalated disputes, including AFCA liaison.
  • Regulatory Support: Support regulatory inquiries, manage specific requests like bankruptcy and deceased estate cases.
  • Policy Development: Develop and update compliance policies, stay informed on regulatory changes, and support audits and inspections.
  • Reporting: Assist in preparing management reports and responses to industry consultations on digital assets.
  • Compliance Awareness: Promote compliance awareness through training and ensure staff adherence to policies.
  • Team Leadership: Perform duties as 2IC for the Australian compliance team and support other compliance-related tasks as instructed.
Requirements:
  • Experience: Minimum of 10 years' experience in financial services compliance.
  • Education: Bachelor's degree; RG146 compliance and ACAMS certification preferred.
  • Knowledge: Knowledge of AFSL obligations, derivatives compliance, and reporting requirements.
  • Leadership: Leadership experience and familiarity with ASIC, AUSTRAC, RBA, and APRA regulations.
  • Skills: Strong analytical, communication, and organizational skills.
  • Interest: Interest and knowledge in cryptocurrency, blockchain, and fintech ecosystems.
  • Location: Based in Australia with advanced computer literacy.

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