Senior Compliance Specialist
vor 3 Wochen
Compliance & Risk (Banking & Financial Services)
Full time
Add expected salary to your profile for insights
Australia’s premier Alternative Asset Manager since 1952. Our culture combined with our commitment to service and our customers has seen La Trobe Financial grow to over $19 billion Assets Under Management and over 550 employees deployed across Melbourne and Sydney.
The Opportunity:
As part of our dynamic team, you will collaborate closely with the Head of Risk & Compliance, fostering a culture of collaboration across all divisions of La Trobe Financial. In this role, your innate leadership qualities will shine as you engage with people, utilising your exceptional interpersonal, problem-solving, and analytical skills. Your curious and positive mindset will be instrumental in achieving our role objectives.
Key Responsibilities:
- Manage the investigation of incidents, breach assessments and required treatment plans (regulatory and operational) within the first- and second-line accountabilities.
- Provide practical and commercially adept compliance advice aligned with relevant legislative/regulatory obligations and our organisation’s risk appetite.
- Contribute to the development of robust Group risk and compliance obligation management systems.
- Manage the fulfilment of third-party information requests
- Manage the compliance training program and governance framework
- Support the continuous enhancement of our Compliance Management Framework, including facilitating training and awareness refreshers for key compliance processes and/or matters.
- Demonstrate leadership behaviours, fostering teamwork, and mentoring junior team members.
About You:
With 5-10 years or more of experience in the financial services and/or asset management sector, preferably within a line 2 Compliance function, you bring a wealth of expertise to the table. Tertiary qualifications in Law, Commerce, or Risk Management are preferred, along with a strong working knowledge of the financial services and/or asset management regulatory environment (e.g., NCCP, Privacy, AFSL/ACL). Your experience in drafting compliance policies and procedures, managing compliance plans, conducting attestation processes, assessing and reporting breaches, and managing regulatory changes will set you up for success. Excellent written and verbal communication skills, combined with exceptional interpersonal skills, enable you to establish credibility, influence, and negotiate outcomes effectively
Employee Benefits:
- Flexible working arrangements.
- Ability to purchase additional leave.
- Employee Assistance Program (EAP).
- Training opportunities.
- Social Events.
- Retail discounts with Reward Gateway.
Please note that only shortlisted candidates will be contacted.
Your application will include the following questions:
Which of the following statements best describes your right to work in Australia?
How many years' experience do you have as a Compliance Specialist?
How many years' experience do you have as a compliance officer?
Which of the following Microsoft Office products are you experienced with?
How many years' experience do you have in the financial services industry?
La Trobe Financial has been Australia's Premier Alternative Asset Manager for over seven decades. Our culture combined with our commitment to service and our customers has seen La Trobe Financial grow to over $19 billion Assets Under Management and over 550 employees deployed across Melbourne and Sydney.
Our philosophy 'others before self' is a fundamental part of who we are and reflects the principles by which we conduct ourselves, shaping what we do and how we do it. Our values are embedded into the operations of our business as well as our underlying culture.
La Trobe Financial has been Australia's Premier Alternative Asset Manager for over seven decades. Our culture combined with our commitment to service and our customers has seen La Trobe Financial grow to over $19 billion Assets Under Management and over 550 employees deployed across Melbourne and Sydney.
Our philosophy 'others before self' is a fundamental part of who we are and reflects the principles by which we conduct ourselves, shaping what we do and how we do it. Our values are embedded into the operations of our business as well as our underlying culture.
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