Compliance Manager, Wealth Management

1 month ago

Sydney, New South Wales, Australia Perpetual Full time
Job Title: Compliance Manager, Wealth Management

The Perpetual Wealth Management division is seeking a Compliance Manager to join our team. As a key member of our Legal, Audit, Risk CoSec Compliance & Sustainability (LARCCS) Division, you will play a critical role in driving good risk culture and good risk outcomes across the Perpetual Wealth Management division and Perpetual Group more generally.

Key Responsibilities:
  • Implement all aspects of the Compliance Risk Management Framework, including compliance policies, plans, training, monitoring, and licence management.
  • Work with the LARCCS Compliance team, other LARCCS colleagues, and business teams to ensure compliance with regulatory requirements.
  • Develop and deliver the LARCCS Compliance team strategy, contributing to a culture of knowledge sharing and collaboration across broader LARCCS teams.
  • Assist in the development of compliance training programs, including training of advisors on best interest duty and FASEA code.
  • Manage the MCO system, including staff queries on personal trading and gifts.
  • Assess new business to ensure required licensing is in place.
  • Provide compliance advisory services for mergers and acquisitions.
Requirements:
  • Diploma in Financial Planning (DFP) or Advanced Diploma (ADFP) preferred.
  • FASEA Ethics Course favourable.
  • Law, finance, accounting, or business degree.
  • Post-graduate qualifications a bonus.
  • 6+ years' experience in advice compliance roles.
  • Extensive financial services experience essential.
  • Some asset management experience preferred.
  • Strong communicator and relationship manager.
  • Confident presenter in front of senior stakeholders, including advisers.
  • Proven ability to be results-oriented and drive good stakeholder outcomes.
  • Strategic thinker.
  • Desire and aptitude to deliver innovative solutions in the delivery of team strategy.
Behaviours:

Our unique culture is underpinned by our three organisational behaviours: Stretch, Own it, Make an impact.

Employee Benefits:
  • Work from anywhere in Australia for up to one month each year.
  • An annual allowance to empower you to prioritise your personal wellbeing.
  • Access to LinkedIn learning, study support, and commitment to supporting professional development.
  • Lend your expertise and support Indigenous organisations to achieve their own development goals with a six weeks' secondment with Jawun.
Diversity and Inclusion:
  • WGEA Employer of Choice for gender equality since 2018.
  • Strong commitment to all aspects of Diversity and Inclusion through a robust 7-pillar strategy.
  • A growing number of employee-led networks who work to raise awareness and drive continued change.
  • We support over 50 Indigenous communities through Native Title Trusts, helping to secure the communities' future. We encourage applications from Aboriginal and Torres Strait Islander People.

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