Compliance Specialist

1 day ago

Sydney, New South Wales, Australia CSC Full time $80,000 - $120,000 per year
Description

Compliance Specialist (Licensing), Australia & New Zealand

Sydney, Australia

Hybrid

About the role

You will report directly to the Associate Director, Compliance and Risk with a dotted reporting line to the Regional Compliance Director, APAC and also be responsible to ensure risk and compliance with the relevant legal and regulatory requirements as well as in-house policies and procedures for Australia and New Zealand Corporate, Funds and Capital Markets business. 

Your key responsibilities will include:

  • Provision of independent sound risk & compliance advice and support on client acceptance based on the prevailing company and group policies as well as the relevant local legislation, rules and industry practice
  • Liaise with ASIC, FMA, and other regulators
  • To conduct risk & compliance monitoring on a timely basis, including but not limited to regular review of client entities, transaction monitoring, and specific thematic review(s) 
  • Provide compliance support to Corporate Legal Solutions (CLS), Funds and Capital Markets business lines, including regulated trustee and agency services.
  • Ensure compliance with AFSL obligations and liaise with internal stakeholders on licensed entity governance.
  • Support the implementation and monitoring of compliance frameworks for licensed entities, including regulatory reporting and breach management.
  • Liaise and deal with Internal Audit inspections or enquiries
  • To conduct risk & compliance investigation pertaining to incidents, complaints or administration issues (where required)
  • To conduct risk & compliance induction to new staff and provide ongoing risk & compliance training to existing staff
  • To prepare relevant risk & compliance management information & reports
  • To participate in ad hoc risk & compliance related projects

What technical skills, experience, and qualifications do you need?

  • Degree holder in Law, Accounting, Finance or related discipline
  • Minimum of 5 years' experience in compliance
  • Solid experience in managing risk & compliance framework in accordance to regulatory and statutory requirements
  • Experience with AFSL obligations and licensed entity frameworks.
  • Familiarity with ASIC and FMA regulatory expectations.
  • Prior experience working with regulated trustee, escrow, or agency services is highly desirable.
  • Sound knowledge of local regulations including both Australia and New Zealand rules and regulations
  • Strong organization and time management skills
  • Ability to independently and effectively work with different stakeholders
  • Good command of both written and spoken English. 
  • Independent, meticulous, pro-active, attentive to details, self-motivated, outspoken, keen to learn, and capable of meeting new challenges with excellent communication skills skills

#LI-KK1

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