Js Careers | Senior Risk And Compliance Manager
vor 3 Wochen
Senior Risk and Compliance Manager - Funds and Wealth Platform JS Careers is excited to be working with a leading Australian Financial Services firm to source a Senior Risk and Compliance Manager to join their Sydney based team.
This role will join an established risk and compliance division and provide informed advice to ensure their AFSL obligations and risk management procedures are maintained across all of their operating units.
This is an excellent opportunity for an experienced risk and compliance professional to join an iconic Australian institution and make a significant impact to the management of regulatory risk.
Please note: investment platforms experience is strongly preferred for this role, although broader investment management and distribution experience will also be considered.
Your day-to-day responsibilities will include:
Provide advice, oversight and review of compliance risks, including provision of ongoing advice to the business, and development of policies and procedures; Undertake periodic risk-based monitoring and thematic reviews of compliance risks to ensure adherence with the compliance framework (e.g.
marketing, PA dealing, RG146 training, AFSL conditions compliance, trade management, outsourcing, privacy, AML/CTF, etc.).
Monitor regulatory change developments and assist in the interpretation and implementation of regulatory change.
Produce reporting to local, regional and global stakeholders, boards and committees.
Provide and manage training on compliance-related topics, policies and developments.
Assist in the response to regulator enquiries, requests, reviews and interactions.
Participate in local, regional and group projects.
Liaise and work with key business, board, committee, regulator, audit, industry body and client stakeholders.
The following experience will be highly regarded:
6+ years relevant work experience, preferably in Legal, Compliance, Operational Risk or Audit with an investment platform provider or investment manager.
Good knowledge of investment platforms, distribution and funds management.
Experience with both regulatory compliance, AML and operational risk.
A passion to develop and maintain knowledge of the Australian regulatory regime and its requirements.
Commitment to building and maintaining good rapport and relationships with key stakeholders.
Excellent problem solving and analytical skills.
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