Compliance Manager

1 month ago

Sydney, New South Wales, Australia Colonial First State Full time

Job Opportunity

9-month max term opportunity

At Colonial First State, we're committed to developing a culture of expert and passionate people. We're looking for a Compliance Manager to join our team and contribute to our mission of giving our customers financial freedom in retirement.

Your Team:

The Compliance Team is part of the Group Compliance function, which also comprises Financial Crime Compliance, Privacy, Compliance and Breach reporting teams. As a key member of the team, you'll partner with the Chief Risk Officer to advise, review and challenge CFS business.

Your Responsibilities:

  • Providing compliance services across all of CFS, including specialist superannuation and investments compliance advisory, obligation maintenance and management, Australian Financial Services Licence and Registrable Superannuation Entity licensing management, fit and proper requirements, conflicts of interest and other compliance related matters.
  • Supporting continuous improvement in the CFS Obligation Management Framework and Conflicts Management Framework (including the relevant Policies and Procedures).
  • Assisting with undertaking the annual review of Compliance Plans for Managed Investment Schemes.
  • Providing CFS and shareholder compliance and regulatory reporting.
  • Providing regulatory landscape monitoring, reporting and support in implementation of regulatory changes.
  • Being a trusted adviser to the CFS business to provide clear and confident advice and recommendations relating to compliance matters, including in relation to compliance policies, obligations and conflicts of interest.
  • Advising CFS on the meaning of compliance obligations in relation to the financial services CFS provides, reviewing and challenging the CFS control environment to ensure CFS meets compliance with the relevant obligations.
  • Assisting in preparing insightful compliance reports with a particular focus on obligation management and conflicts management status, trends and emerging risks.

Your Skills and Experience:

  • Demonstrated experience working within a Compliance function or other broader Group Compliance functions is highly preferred.
  • Experience in maintaining compliance frameworks including Conflicts of Interest, Compliance Obligations and Controls and undertaking annual review of Compliance Plans.
  • Good knowledge of the wealth management industry including superannuation and funds management and surrounding regulatory landscape.
  • Excellent stakeholder management skills with proven ability to influence.
  • Ability to work in a transforming environment and adapt quickly.
  • Commercial orientation balanced with proven technical expertise resulting in pragmatic and relevant business risk management outcomes.
  • Relevant qualifications (Business, Law, Finance, Economics or Accounting) is essential. Recognised relevant professional certification/accreditation (e.g. CPA, CA, CFA, CFP, DipFS, RG ) is highly desired.

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