Compliance Officer Sydney TMGM Full time
vor 4 Wochen
Compliance Officer TMGM Sydney, Australia Posted 25 days ago Permanent Competitive
Compliance Officer
The Compliance Officer will be responsible for the application, management and maintenance of overseas (mainly Europe and South Africa) licenses. Reporting directly to the Chief Compliance Officer, the incumbent will play a pivotal role in ensuring compliance with relevant regulations and standards.
Responsibilities:
- Manage regulatory and licensing matters, including licencing application, variation and related licensing reporting requirements.
- Serve as the primary point of contact for all compliance-related inquiries and issues pertaining to the licenses under management.
- Support internal and external audits, as well as regulatory reviews, by providing necessary documentation and information.
- Assist in the establishment of local bank accounts for licensed entities.
- Stay updated on changes in regulations and ensure compliance with applicable laws and regulations.
- Collaborate with cross-functional teams to develop and implement compliance policies, procedures, and controls.
- Conduct periodic compliance assessments and reviews to identify areas for improvement and implement remedial actions as necessary.
- Assist in the resolution of compliance issues, including the investigation of potential breaches and the implementation of corrective measures.
- Ad-hoc duties as requested.
Requirements
- Bachelor's degree in Law or related field. Advanced degree preferred.
- Minimum of two years of experience in compliance or legal roles, preferably in the financial services industry.
- Strong proficiency in Microsoft Office suite.
- Strong attention to detail and organizational skills.
- Excellent communication and interpersonal abilities.
- Ability to multitask and prioritize tasks effectively.
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