Compliance Manager, Strategic Risk Advisor

4 days ago

Sydney, New South Wales, Australia Perpetual Full time
Strategic Compliance Expert for Wealth Management

The wealth management business at Perpetual encompasses three distinct brands: Fordham, Jacaranda Financial Planning, and Priority Life. This unique blend of wealth management, advice, and trustee services caters to a diverse range of clients across Australia.

Our Legal, Audit, Risk CoSec Compliance & Sustainability (LARCCS) Division is seeking an experienced Compliance Manager to drive good risk culture and outcomes within the Perpetual Wealth Management division and Perpetual Group as a whole.

Key Responsibilities:
  • Implement the Compliance Risk Management Framework in collaboration with LARCCS Compliance team members, other LARCCS colleagues, and business teams.
  • Develop and maintain compliance policies, plans, and training programs, including best practice guidance on regulatory requirements.
  • Conduct regular monitoring and maintenance of AFSLs, ACLs, RSEs, RMs, and RPs, ensuring all necessary licenses are up-to-date and valid.
  • Manage the MCO system, handling staff queries related to personal trading and gifts, while also assessing new business to ensure required licensing is in place.
  • Provide advisory services for mergers and acquisitions, ensuring compliance with relevant regulations.
Requirements:
  • Diploma in Financial Planning (DFP) or Advanced Diploma (ADFP); Law, finance, accounting, or business degree; or post-graduate qualifications preferred.
  • 6+ years of experience in advice compliance roles, with extensive financial services experience essential.
  • Strong communication and relationship management skills, with the ability to present confidently to senior stakeholders.
  • Proven ability to drive results-oriented stakeholder outcomes and strategic thinking.
About Perpetual

Perpetual is committed to creating an inclusive workplace where diversity is celebrated. We welcome applications from people of all backgrounds and communities. Our goal is to provide a work environment that enables employees to thrive, whatever their circumstances.

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