Compliance Manager

27 minutes ago

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

JS Careers
is excited to be working with a leading international investment manager to source a new Compliance Manager to join their Sydney based compliance team.

This role will join an established compliance division and provide informed regulatory advice across a broad range of retail and wholesale investment products. This is an excellent opportunity for an experienced compliance professional to join an iconic global investment manager and make a significant impact to the management of regulatory risk.

Your day-to-day responsibilities will include:

  • Provide advice, oversight and review of compliance risks, including provision of ongoing advice to the business, and development of policies and procedures;
  • Undertake periodic risk-based monitoring and thematic reviews of compliance risks to ensure adherence with the compliance framework (e.g. marketing, PA dealing, RG146 training, AFSL conditions compliance, trade management, outsourcing, privacy, AML/CTF, etc.).
  • Monitor regulatory change developments and assist in the interpretation and implementation of regulatory change.
  • Produce reporting to local, regional and global stakeholders, boards and committees.
  • Provide and manage training on compliance-related topics, policies and developments.
  • Assist in the response to regulator enquiries, requests, reviews and interactions.
  • Participate in local, regional and group projects.
  • Liaise and work with key business, board, committee, regulator, audit, industry body and client stakeholders.

The following experience will be highly regarded:

  • 4+ years relevant work experience, with a strong presence for both legal and compliance experience within funds management.
  • Good knowledge of investment management products and services gained through either tertiary studies or work experience.
  • Experience with both regulatory and financial crime compliance disciplines.
  • A passion to develop and maintain knowledge of the Australian regulatory regime and its requirements.
  • Commitment to building and maintaining good rapport and relationships with key stakeholders.
  • Excellent problem solving and analytical skills.
  • Attention to detail.

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