Senior Compliance Officer

4 weeks ago

Sydney, Australia PIMCO Full time

RESPONSIBILITIES

This position requires a diplomatic and analytical professional who can: 

Be the main point of contact on all compliance related matters Ensure continuing compliance with applicable regulatory requirements and market best practice, including anti-money laundering and sanctions compliance, marketing and distribution compliance Ensure incidents and breaches are appropriately assessment, remediated and reported Maintain relationship with relevant regulators and external compliance committee Manage regulatory and licensing matters, including licence application, variation, cessations and related licensing reporting requirements Oversee the Portfolio Management team, Institutional Sales team, GWM team as well as Operations team to ensure compliance with applicable law, regulation and policies Build strong relationships with relevant stakeholders and provide active advice on all compliance related matters Support internal and external audit and regulatory reviews Support a range of projects (regulatory change or business initiatives) from a regulatory perspective Draft, review and maintain on an ongoing basis compliance manual, program and policies based on regulatory developments Provide guidance to the junior team members for the assigned responsibilities and projects if applicable Develop and provide compliance training Coordinate and execute global compliance projects Support APAC (Hong Kong, Singapore and Tokyo) and global offices (US and London) in their initiatives

REQUIREMENTS

An undergraduate or degree in Law, Accounting, Business, Finance, Economics or other related field is required. Minimum of 8-10 years relevant experience in risk, regulatory and compliance roles, either in a major law firm, or consultancy/accounting firm or a large and diverse global investment bank or investment management firm Strong knowledge of Australian financial services regulatory environment and compliance considerations A team player who can interact professionally, diplomatically and effectively with key internal and external stakeholders

Preferred Experience in

Implementation and maintenance of compliance programs Fixed income or equities Responsible entity obligations Institution and retail sales Trading and research

DESIRED COMPETENCIES

Possess technical regulatory knowledge and skills Possess strong analytical skills Possess strong communication skills Develop teamwork and optimize the use of resources to achieve team or organizational objectives. Lead by persuasion and example Be able to prioritize multiple tasks and demonstrate timely follow-up Plan, track, manage, and report the implementation of projects: including associated resources, using established project management tools, techniques and/or software Be effective in both formal and informal presentation settings : one-on-one, small and large groups, with peers, direct reports, and managers; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream if required Able to identify business risks : seeks relevant data, recognizes important information, and analyzes the impact and possible consequences Understand the business and factors that impact the business International and domestic compliance experience within the Institutional and Retail sector is desired

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