Chief Regulatory Compliance Officer

2 weeks ago

Melbourne, Victoria, Australia beBeeCompliance Full time $120,000 - $150,000
Compliance Specialist

The Compliance Specialist will join a senior compliance advisory team and serve as the primary contact for product teams. The role involves providing guidance and oversight of regulated activities, acting as a trusted advisor to the business.

About Us
Visionary leadership has shaped our investment company, operating differently from others. It has no external shareholders, and all profits are reinvested to lower costs. Today, we are one of the world's largest investment management companies, serving over 50 million investors worldwide.

Duties and Responsibilities Business Support
Provide advice and challenge by assessing regulatory requirements for responsible business lines and suggesting courses of action for business leads to make informed decisions. Provide compliance advice on documented controls. Support product functions regarding product disclosures, including target marketing determinations. Identify and deliver compliance training needs, including maintaining online compliance training materials. Participate in special projects and perform other duties as assigned.

Compliance Policies and Procedures
Lead the review and maintenance of compliance plans for managed investment schemes. Design and maintain policies and procedures to address compliance risks and obligations, ensuring they are user-friendly for functions to deliver compliant outcomes.

Compliance Management Practices
Assist in assessing complex incidents and breaches, supporting the business in resolution and remediation activities. Collaborate with the reporting team to prepare reports, attend steering committees and management meetings, and report significant compliance issues and initiatives. Communicate regulatory developments and requirements, updating policies, processes, and training accordingly.

Stakeholder Management
Establish and maintain constructive relationships with key stakeholders and internal/external auditors. Qualifications and Experience
Minimum of ten years of related work experience, with at least seven years in financial services product management or compliance. Knowledge of responsible entity, managed investment schemes, and ETF compliance obligations. Strong written and verbal communication skills. Proven ability to build strong stakeholder relationships. Undergraduate degree or equivalent.

Inclusion Statement We believe building diverse, inclusive, and effective teams enhances our ability to serve clients and innovate. We value all crew members' unique strengths and foster an environment where everyone feels valued and included. Our core purpose: To take a stand for all investors, treat them fairly, and give them the best chance for investment success. How We Work We have adopted a hybrid working model to promote flexibility, in-person collaboration, and connection. Our culture supports long-term client outcomes and enriches the employee experience.

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