Clearcompany | Product Compliance Manager
vor 3 Wochen
About the role
As a Product Compliance Manager, you will report to KeyInvest's Chief Investment Officer.
The Chief Investment Officer is responsible for KeyInvest's Investment and Products division.
The Product Compliance Manager will be responsible for ensuring that all financial products and services comply with relevant regulatory requirements, including Design and Distribution Obligations (DDO), disclosure requirements, Australian Financial Services Licence (AFSL) compliance, and compliance with the APRA Prudential Standards.
This role involves working closely with product development, sales and marketing teams, legal, and risk management to ensure that compliance is integrated into the product lifecycle from inception to distribution.
Key Responsibilities
Design and Distribution Obligations (DDO)
Maintain, manage, and monitor KeyInvest's Product Governance Framework in line with the requirements of RG 274 and other relevant regulatory guidance.
Ensure that target market determinations (TMDs) are prepared, reviewed, and updated as required.
Monitor and report on the effectiveness of TMDs and distribution strategies.
Provide guidance and training to internal stakeholders on DDO requirements.
Maintain appropriate records of decisions made in relation to the TMD and associated reviews.
Disclosure Compliance
Oversee the preparation and review of disclosure documents, including Product Disclosure Statements (PDS), Financial Services Guides (FSG), and other regulatory documents.
Ensure that all disclosure documents are accurate, clear, and comply with regulatory requirements.
Stay updated on changes in disclosure regulations and ensure timely implementation of necessary updates.
Monitor changes to external underlying Managed Funds to ensure KeyInvest's disclosure documents remain up to date and compliant.
AFSL Compliance
Maintain and update compliance policies and procedures in line with AFSL requirements.
Design, implement, and operationally embed controls that support continued compliance with financial services regulations relating to KeyInvest's financial products.
Support KeyInvest's AFSL Responsible Managers in the review of any advertising or marketing material relating to KeyInvest's financial products.
Benefit Fund Rules
Coordinate the creation, amendment, and deletion of Benefit Fund Rules associated with KeyInvest's existing and new life products.
Monitor compliance with KeyInvest's Benefit Fund Rules and APRA Prudential Standards relating to life products.
Risk Management
Identify and assess compliance risks associated with new and existing products.
Develop and implement risk mitigation strategies.
Collaborate with the risk management team to integrate compliance risk assessments into the overall risk management framework.
Reporting and Documentation
Prepare regular compliance reports for senior management and the board.
Maintain comprehensive records of compliance activities and decisions.
Ensure timely and accurate reporting of compliance breaches and incidents.
Relationship Management
Liaise with external fund managers, clients, third parties and key stakeholders on behalf of the Chief Investment Officer and/or a designated Portfolio Manager.
Education, Experience, Skills & Knowledge
Bachelor's degree in law, finance, business, or a related field.
Minimum 5 years financial services experience.
In-depth knowledge of Australian financial services regulations, including DDO, disclosure requirements, and AFSL compliance.
Experience with APRA life product regulation desirable.
Excellent communication skills, both written and verbal.
Ability to work independently and as part of a team.
High attention to detail and strong organizational skills.
Personal Competencies
Attention to detail.
Adept at identifying risks and proposing effective risk mitigation strategies.
Comfortable working in a dynamic environment with changing priorities.
Collaborative approach to problem-solving and decision-making.
Uphold high standards of integrity and confidentiality.
Strong stakeholder management skills.
Ability to work effectively under pressure and meet tight deadlines.
Ability to plan effectively and take accountability for delivering results.
A continual improvement mindset with a desire to continue to learn and grow.
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