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Compliance Manager

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: $120k - $150k + bonus

  • $100-150k AUD Equivalent
  • Permanent
  • No Experience years of experience

Our client is a leading retail broker seeking a Compliance Manager to manage their compliance function in their Sydney office – this role will ideally be hired on a part time basis for 3 or 4 days a week. However they are open to hiring someone full time.

Responsibilities

  • Ensure the business activities comply with AFS license conditions, statutory and regulatory obligations.
  • Ensure internal compliance measures including manuals, policies and procedures are continually monitored, developed and enhanced.
  • ASIC submissions.
  • Promote a compliance culture within the organisation and encourage “Whistle Blowing’.
  • Maintain employee and management awareness of the Compliance function, regulatory obligations and regulatory changes as they arise.
  • Liaise with Departmental Managers, Managing Director and the Board on compliance issues as they effect the organisation.
  • Ensure regular compliance reporting to the Managing Director, Board of Directors and the Compliance Committee, reporting should include recommendations and proposed changes to policies and procedures.

Requirements

  • Prior retail broking markets compliance required
  • 3 years’ experience in AFSL compliance as you’ll responsible for ASIC submissions.
  • Some exposure to Margin FX or retail derivative trading products would be advantageous, although our client is open to candidates from other financial services firms.
  • Some understanding of the various regulatory requirements that are part of being an AFSL holder.
  • RG146 compliant would be beneficial

The salary will vary depending on relevant experience that is brought to the role, although we expect circa $120-150k+super + an annual discretionary bonus (pro-rata for part time candidates).

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