Compliance Manager
vor 3 Wochen
Description The Role
Reporting to the COO, the Compliance Manager oversees the compliance function of AltX Group, including our lending and funds management businesses, which holds both an Australian Financial Services Licence (AFSL) and an Australian Credit Licence (ACL).
This includes ensuring that our operations adhere to all relevant legal and regulatory requirements, mitigating risks and maintaining the highest standards of integrity and compliance.
Key Accountabilities
Develop, implement, and maintain compliance programs to ensure adherence to AFSL and ACL requirements.
Monitor and report on compliance with relevant laws, regulations, and internal policies.
Conduct regular compliance audits and risk assessments, identifying and mitigating potential compliance risks.
Liaise with regulatory bodies such as ASIC, APRA, and AUSTRAC, ensuring timely and accurate reporting and communication.
Manage the company's compliance training programs, ensuring all staff are aware of and understand their compliance obligations.
Oversee the handling of customer complaints and breaches of compliance, ensuring appropriate investigation and resolution.
Maintain compliance records and documentation, ensuring they are accurate, up-to-date, and easily accessible.
Setting up the risk management framework for the group.
You'll Know You're Successful in this role
The business sees you as an expert in your field and seeks out your advice and counsel.
Compliance programs are effectively managed, both proactively and from an audit perspective.
Your work has led to a reduction in external spend relating to compliance.
Key Skills, Experiences and Attributes
Bachelor's degree in Finance, Commerce, Business or related discipline.
Minimum of 5 years' experience in a compliance role within the financial services industry, including sound experience in lending.
In-depth knowledge of AFSL and ACL regulatory requirements.
Experience working with regulatory bodies such as ASIC, APRA, and AUSTRAC.
Proven experience in managing compliance programs and conducting compliance audits.
Strong understanding of Australian financial services and consumer credit laws.
Excellent analytical, problem-solving, and decision-making skills.
Strong interpersonal and communication skills, with the ability to build relationships with stakeholders at all levels.
High level of integrity, with a commitment to maintaining the highest standards of compliance and ethical conduct.
Strong project management skills, with the ability to manage multiple tasks and deadlines.
Ability to work independently and as part of a team in a fast-paced, dynamic environment.
Proficiency in using compliance management software and tools.
Role Type #J-18808-Ljbffr
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