Wealth Distribution Compliance Specialist

6 days ago

Sydney, New South Wales, Australia beBeeRegulator Full time $70,000 - $120,000
Compliance Manager Role

The Compliance Manager will play a key role in ensuring the organization's wealth distribution and analytics functions are operating within regulatory guidelines. Key responsibilities include providing proactive compliance advice, signing off materials, performing compliance assessments, and promoting a rigorous approach to the Digital & Marketing Compliance Framework.

Key Responsibilities:
  • Support Bank Wealth Distribution and Analytics teams
  • Provide proactive and reliable compliance advice regarding advertising and distributing consumer wealth products
  • Sign off periodic and ad hoc materials adhering to APRA, ASIC and OAIC guidelines
  • 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 the Group's Digital & Marketing Compliance Framework in line with regulatory changes
  • Perform targeted reviews of key risks and controls
  • Run workshops and compliance training to share learnings and best practice to both the Business and the Risk & Compliance teams
  • Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing to the team's credibility
Required Skills and Qualifications:
  • 5 years of recent compliance, risk assurance or legal experience in Financial Services (preferably in Wealth Management)
  • Degree qualified in Business, Finance, or Legal
  • Pragmatic operator who can thrive in a highly dynamic commercial environment
  • Strong project management and F2F stakeholder influencing skills
  • Understanding of relevant laws, regulations and regulatory guides underpinning a Financial Advice business

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