Compliance Manager
10 hours ago
Sydney- Ancillary Areas- PermanentOur client is a leading retail broker seeking a Compliance Manager to manage their compliance function in their Sydney office - this role will ideally be hired on a part time basis for 3 or 4 days a week. However they are open to hiring someone full time.
**Responsibilities**
- Ensure the business activities comply with AFS license conditions, statutory and regulatory obligations.
- Ensure internal compliance measures including manuals, policies and procedures are continually monitored, developed and enhanced.
- ASIC submissions.
- Promote a compliance culture within the organisation and encourage “Whistle Blowing’.
- Maintain employee and management awareness of the Compliance function, regulatory obligations and regulatory changes as they arise.
- Liaise with Departmental Managers, Managing Director and the Board on compliance issues as they effect the organisation.
- Ensure regular compliance reporting to the Managing Director, Board of Directors and the Compliance Committee, reporting should include recommendations and proposed changes to policies and procedures.
**Requirements**:
- Prior retail broking markets compliance required
- 3 years’ experience in AFSL compliance as you’ll responsible for ASIC submissions.
- Some understanding of the various regulatory requirements that are part of being an AFSL holder.
- RG146 compliant would be beneficial
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