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Compliance Manager, Wealth Distribution Specialist

2 months ago

Sydney, New South Wales, Australia BeathChapman Pte Ltd Full time
Job Summary:

We are seeking a highly skilled Compliance Manager to join our team at BeathChapman Pte Ltd. As a key member of our Compliance Department, you will play a critical role in ensuring the company's wealth distribution activities are in compliance with relevant laws and regulations.

Key Responsibilities:
  • Provide proactive and reliable compliance advice to support the company's wealth distribution business.
  • Sign off periodic and ad hoc materials, ensuring they adhere to regulatory guidelines.
  • Perform compliance assessments to identify immediate and emerging risks.
  • Develop a framework for incident management and ongoing monitoring.
  • Promote a rigorous and forward-thinking approach to the company's Digital & Marketing Compliance Framework.
  • Perform targeted reviews of key risks and controls.
  • Run workshops and compliance training to share learnings and best practices.
  • Lead the implementation of an effective compliance framework and operating model.
Requirements:
  • 5 years of recent compliance, risk assurance, or legal experience in Financial Services (preferably in Wealth Management).
  • Degree qualified in Business, Finance, or Legal.
  • Strong project management and stakeholder influencing skills.
  • Understanding of relevant laws, regulations, and regulatory guides underpinning a Financial Advice business.