Compliance Expert

1 week ago

Melbourne, Victoria, Australia beBeeCompliance Full time $100,000 - $120,000
Job Title: Compliance Specialist

The role of a Compliance Specialist is to support the development and maintenance of compliance frameworks, policies, and procedures within an asset management business.

This involves providing technical research and consultation to support compliance programs and initiatives, as well as reviewing marketing materials to ensure regulatory requirements are met.

The specialist will also assist in regulatory inquiries and examinations, and provide ad-hoc project support as required.

Key responsibilities include:

  • Providing technical research and consultation to support compliance programs and initiatives
  • Reviewing marketing materials to ensure regulatory requirements are met
  • Assisting in regulatory inquiries and examinations
  • Supporting senior members of the department in the identification, planning, and execution of departmental activities

Requirements for the role include:

  • Proven experience in advising and/or monitoring of asset management businesses
  • Strong background in and understanding of investment management products and services, including securities, cash, and derivatives market instruments
  • Working knowledge of ASIC regulations, with international exposure
  • Prior experience in the interpretation and analysis of complex investment management agreements and industry standards
  • Analytical ability to identify and understand problems and provide effective solutions
  • Excellent verbal and written communication skills
  • Ability to make decisions independently and work effectively as part of a team

About Us:

We are a globally recognized financial institution that serves sophisticated clients using leading technology and exceptional service.

Our company has been in continuous operation since 1889 and offers a range of benefits to its employees.

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