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Senior Compliance Officer

2 months ago

Sydney, New South Wales, Australia MARS Recruitment Full time

MARS Recruitment is proud to be partnering with a leading financial institution in search of an experienced Risk and Compliance Manager. Reporting directly to the Chief Operating Officer, this role will work closely with the Senior Risk and Compliance Manager to ensure the business complies with relevant laws and regulations, including those related to investment results and sales.

The ideal candidate will have 5+ years of compliance experience within the investment management industry and will actively cultivate and reinforce a strong culture of risk awareness and compliance management throughout the organization.

Key Responsibilities:

  • Oversee the Compliance function with a particular emphasis on monitoring AFSL compliance for both the Licensee and managed funds.
  • Lead the review and ongoing monitoring of the AFSL Compliance Plan to ensure adherence to regulatory standards.
  • Supervise the compliance framework related to funds, including identifying areas for enhancement and implementing improvements.
  • Ensure the timely submission of regulatory filings and scheme-related lodgments.
  • Direct the daily review and approval process for marketing materials to ensure compliance with applicable regulations.
  • Build and sustain effective operational relationships with key service providers to support business objectives.
  • Conduct thorough investigations into compliance breaches and ensure accurate reporting.
  • Oversee the continuous review and update of compliance policies, procedures, and training programs to maintain regulatory compliance and operational efficiency.

Desired Experience:

  • 7+ years of compliance experience within financial services, particularly in investment management.
  • In-depth understanding of funds management legislation and compliance obligations.
  • Proven experience in conducting due diligence for new product offerings.
  • Legal background is advantageous.
  • Excellent communication and interpersonal skills, with the ability to build and maintain relationships with stakeholders at all levels.
  • Strong analytical and problem-solving skills, with the ability to effectively address regulatory and commercial issues.