Senior Manager, Regulatory Advisory Compliance

1 day ago

Sydney, New South Wales, Australia T. Rowe Price Australia Full time $150,000 - $250,000 per year

PRINCIPAL RESPONSIBILITIES:

  • Supporting the business conducted in Australia and within the APAC region in remaining compliant with relevant laws and regulations. Act as a contact point for questions related to regulatory matters.
  • Driving the identification, assessment and mitigation of compliance risks by designing, enhancing and advising on compliance program, internal controls and internal work process.
  • Establish, review and enhance on the compliance frameworks/policies of the business activities and initiatives in the APAC region. Advising business to implement the compliance frameworks/policies.
  • Responsible for tracking and leading regulatory change projects relating to Australia.
  • Building out and performing periodic monitoring/surveillance according to relevant regulations and internal policies.
  • Liaising with ASIC and Responsible Entity as and when necessary. Handling notifications and enquiries to/from regulators.
  • Act as the AML/CTF Compliance Officer for TRP Australia

  • Assists other team members when needed to support core compliance work, including but not limited to:

  • Providing advice on Code of Ethics matters

  • Resolving breaches and incidents

  • Providing Compliance training

  • Complaints handling

  • Compliance responses to client due diligence requests and RFPs

  • Review of marketing materials

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:

  • University graduate
  • 10-15 years relevant compliance experience, preferably in the asset management industry
  • Knowledge of relevant regulations in Australia (and other jurisdictions in Asia is a plus)
  • Ability to work under pressure and produce timely results independently
  • Team player who is able to build working relationships and interact with a diverse group of internal and external contacts
  • Good analytical skills and ability to make critical, time sensitive decisions
  • Effective communication skills (verbal and written)

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