2x Compliance Manager - Sydney, Australia - Godfrey Group

Godfrey Group

Verified Company

Sydney, Australia

1 week ago

Posted by:

Olivia Brown

beBee Recruiter

Description

BANKING & FINANCE

BANKING - COMPLIANCE

SYDNEY

PERMANENT / FULL TIME

3/7/2023

Take the lead in managing compliance frameworks, policies, and procedures
Effectively engage with Clevel stakeholders
Utilise your compliance experience & knowledge

The Business:

This privately owned, innovative wealth platform provider offer technology that is focused on investor portfolio outcomes.

Supporting advisers to deliver on their client investment objectives, this service is backed by an exceptional client service and operational team.

Join a dynamic team and be one of the go-to personnel for all compliance and governance matters within this growing investment platform.

The opportunity

As the Compliance Manager, you will play a crucial role in maintaining and enhancing the compliance framework, ensuring the business's compliance with legal and regulatory requirements.

You will provide expert advice and support across a wide range of compliance matters, including managed discretionary accounts, registered managed investment schemes, superannuation, and AFS licensing.

Autonomy and Leadership: Take the lead in managing compliance frameworks, policies, and procedures to ensure adherence to legal and regulatory requirements.
Stakeholder Engagement: Engage with internal stakeholders, including the Head of Compliance and Governance and the Chief Financial Officer, as well as external stakeholders such as the Compliance Committee and Board of Directors.
Risk and

Compliance Expertise:

Utilize your prior compliance experience in the banking or asset management industry to provide technical support and guidance from a risk and compliance perspective.

Key Responsibilities:

Draft and review company policies and procedures, ensuring they align with regulatory requirements.
Prepare quarterly Compliance Committee Reports and assist with tracking action items.
Maintain various registers, including incidents and breaches, training, complaints, conflict of interests, and regulatory updates.
Collaborate with other business units on projects, providing risk and compliance advice.
Manage monitoring programs to ensure compliance with laws and regulations, such as AML/CTF Transaction Monitoring, Know Your Clients (KYC), and Product Design and Distribution Obligations (DDO).
Act as a stakeholder in the marketing materials and communications approvals process.
Conduct training sessions to promote compliance awareness and culture across the organization.
Ensure accurate and timely regulatory reporting and address requirements from regulators.
Handle ad hoc queries from various stakeholders across the organization.

Required Qualifications and Skills:

Bachelor's Degree in Finance, Business, or Economics.
Strong stakeholder engagement skills, with the ability to confidently communicate with Clevel stakeholders.
Good understanding of the financial services industry, AFSL regulations, and managed discretionary accounts, managed investment schemes, and/or superannuation.
Have a solutionsdriven mindset with knowledge and working experience of risk and compliance frameworks and standards.
Experience in board and committee governance and reporting.
Ability to work autonomously and as a team in a fastpaced environment.
Proven leadership skills and the willingness to take ownership of programs of work.
Inquisitive and curious mindset with excellent analytical skills and attention to detail.
Good time management abilities to handle multiple tasks and meet deadlines.

Join the Team:

Take the next step in your career and join a dynamic organisation. Offering a challenging work environment where you can thrive and grow professionally.