Head of Compliance

2 weeks ago

Sydney, Australia UBS Full time

**Your role**

Do you have experience with all compliance and regulatory matters related to asset management? Are you an experienced asset management compliance professional in Australia?

We're looking for a senior compliance professional to;
- lead the Australian compliance and operational risk function for the Asset Management Australia business
- build trusted business partnerships and deliver effective independent challenge and risk assessment
- manage interactions and engagement with our regulators
- support business stakeholders on risk identification, mitigation and compliance with all applicable regulatory obligations
- proactively engage in Industry forums and working groups, providing advice and training to the business on regulatory and industry change / developments
- manage the framework in respect of the compliance plan for registered schemes, including reporting to the Responsible Entity Compliance Committee and monitoring of compliance plan controls

**Join us**

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

**Disclaimer / Policy Statements**

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce

**Your team**

You will work in the Compliance and Operational Risk (C&ORC) AM team reporting into the Head C&ORC AM APAC. We provide a wide range of compliance and operational risk oversight and governance support services to Asset Management's business sectors including retail funds and institutional mandates

**Your expertise**
- strong background and expertise in assessing and managing compliance and operational risks within an asset management business in Australia
- experience in leading and managing engagement and interactions with key regulators (for example, ASIC, AUSTRAC)
- track record of providing confident, clear and concise advice in the context of regulatory obligations in Australia
- excellent communication skills includes drafting (policies, reports, regulatory correspondence)
- ability to develop and deliver training programs and materials
- experience in managing a team, including developing and fostering talent and effective communication skills
- motivated and skilled at driving a proactive solution-orientated process
- reliable, pro-active, determined, self-motivated with a very high level of integrity
- able to manage and drive multiple and complex projects at any given time *#LI-TC1

**About us**

UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**Your Career Comeback

  • Head of Compliance

    1 week ago

    Sydney, New South Wales, Australia Checkout Full time $120,000 - $180,000 per year

    The role is looking for a Head of Compliance & MLRO AU/NZ, based in our Sydney office, to support the development of its Australia and New Zealand branch, as a Compliance and AML/CTF professional who will take the initiative to monitor the financial crime and compliance program of its Australia and New Zealand entities.The stakeholder will join a growing...

  • Head of Compliance

    1 day ago

    Sydney, New South Wales, Australia Sokin Full time $120,000 - $200,000 per year

    Head of Compliance - AustraliaRoleWe are seeking a highly experienced and strategic Head of Compliance for Australia to own our compliance function within the Australian market. This role is critical in ensuring that the company meets all regulatory obligations while promoting a robust culture of compliance across the organisation. The successful candidate...

  • Regional Head of Compliance

    2 weeks ago

    Sydney, Australia Rabobank Full time

    The CRO Rabobank ANZ (RANZ) provides strong risk governance and an effective risk framework, challenging and advising on risk taking, pro-active monitoring of the risk profile and controls. The main objective of CRO RANZ is to enable the RANZ business to achieve its strategic goals within the local regulatory environment; and our risk appetite, building...

  • Head of Compliance

    6 days ago

    Sydney, New South Wales, Australia Montu Full time $200,000 - $400,000 per year

    Company Description Montu is Australia's largest healthtech business with a focus on alternative healthcare. Founded in 2019, it supports patients, doctors and pharmacies through its Alternaleaf clinic, offers accredited healthcare education to clinicians via its SAGED platform, and dispensing solutions to pharmacies across Australia through Leafio. Montu is...

  • Head of Compliance

    5 days ago

    Sydney, New South Wales, Australia Montu Full time $120,000 - $250,000 per year

    Company DescriptionMontu is Australia's largest healthtech business with a focus on alternative healthcare. Founded in 2019, it supports patients, doctors and pharmacies through its Alternaleaf clinic, offers accredited healthcare education to clinicians via its SAGED platform, and dispensing solutions to pharmacies across Australia through Leafio. Montu is...

  • Head of Compliance,MLRO

    2 weeks ago

    Sydney, New South Wales, Australia Checkout Full time $120,000 - $180,000 per year

    The role is looking for a Head of Compliance & MLRO AU/NZ, based in our Sydney office, to support the development of its Australia and New Zealand branch, as a Compliance and AML/CTF professional who will take the initiative to monitor the financial crime and compliance program of its Australia and New Zealand entities.The stakeholder will join a growing...

  • Head of Risk and Compliance

    5 days ago

    Sydney, Australia ClearView Wealth Full time

    Head of Risk and Compliance As the Head of Risk and Compliance, you will be at the forefront of safeguarding our organisation by ensuring robust governance and adherence to regulatory requirements. You will be responsible for continuing to shape and support implementation of our Risk and Compliance strategy, leading a team of skilled professionals, and...

  • Head of Apac Compliance

    5 days ago

    Sydney, Australia OFX Full time

    Company Description **Hi.** We’re OFX, a global provider of online, international payment services. We solve the complexity of moving money and enable better decisions. Headquartered in Sydney with offices worldwide, we’re a customer-focused business that is all about inspiring customer confidence. At OFX, you’ll have the opportunity to reach beyond...

  • Head of Compliance

    1 week ago

    Sydney, Australia Rabobank Full time

    **About the Opportunity** As Head of Compliance Australia, you’ll be the strategic compliance advisor to local leadership, driving a strong culture of integrity and risk management. You’ll lead the development and communication of the compliance vision, ensure alignment with internal and external regulations, and proactively manage emerging risks. As a...

  • Head of Risk and Compliance

    7 days ago

    Sydney, Australia ClearView Full time

    As the Head of Risk and Compliance, you will be at the forefront of safeguarding our organisation by ensuring robust governance and adherence to regulatory requirements. You will be responsible for continuing to shape and support implementation of our Risk and Compliance strategy, leading a team of skilled professionals, and providing strategic guidance to...