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Legal and Compliance Manager

2 months ago


Waverley Municipal Council, Australia AltX Ventures Management Services Pty Ltd Full time
About the Role

We are seeking a highly skilled Legal and Compliance Manager to join our team at AltX Ventures Management Services Pty Ltd. As a key member of our organization, you will play a critical role in ensuring the company's operations adhere to all relevant legal and regulatory requirements.

Key Responsibilities

The successful candidate will be responsible for:

  1. Providing Expert Legal Advice: Collaborate with external counsel to provide guidance on a wide range of issues related to the lending business, including contract law, consumer credit law, privacy law, and financial services regulation.
  2. Drafting and Negotiating Contracts: Develop, review, and negotiate contracts, agreements, and other legal documents to ensure the company's interests are protected.
  3. Managing Legal Disputes: Manage and resolve legal disputes, liaising with external counsel as necessary.
  4. Staying Up-to-Date with Regulatory Requirements: Keep abreast of changes in legislation and regulatory requirements affecting the business, providing timely advice and updates to senior management.
  5. Developing Compliance Programs: Support the development and implementation of company policies and procedures to ensure legal compliance and risk management.
  6. Advising on Corporate Governance: Advise on corporate governance matters, including board resolutions, corporate filings, and compliance with the Corporations Act.
Compliance Responsibilities

The successful candidate will also be responsible for:

  1. Developing and Implementing Compliance Programs: Develop, implement, and maintain compliance programs to ensure adherence to AFSL and ACL requirements.
  2. Monitoring Compliance: Monitor and report on compliance with relevant laws, regulations, and internal policies.
  3. Conducting Compliance Audits: Conduct regular compliance audits and risk assessments, identifying and mitigating potential compliance risks.
  4. Liaising with Regulatory Bodies: Liaise with regulatory bodies such as ASIC, APRA, and AUSTRAC, ensuring timely and accurate reporting and communication.
  5. Managing Compliance Training: Manage the company's compliance training programs, ensuring all staff are aware of and understand their compliance obligations.
  6. Handling Customer Complaints: Oversee the handling of customer complaints and breaches of compliance, ensuring appropriate investigation and resolution.
  7. Maintaining Compliance Records: Maintain compliance records and documentation, ensuring they are accurate, up-to-date, and easily accessible.
Requirements

To be successful in this role, you will need:

  1. Relevant Qualifications: A Bachelor's degree in law (LLB) with admission as a solicitor or barrister in Australia.
  2. Experience: Minimum of 5 years' experience in a legal and/or compliance role within the financial services industry, preferably in lending.
  3. Knowledge: In-depth knowledge of AFSL and ACL regulatory requirements.
  4. Skills: Excellent analytical, problem-solving, and decision-making skills, with strong interpersonal and communication skills.
  5. Attributes: High level of integrity, with a commitment to maintaining the highest standards of compliance and ethical conduct.