Opportunities

Regulatory Compliance Manager

Written by Anton Murray Consulting Consulting on .

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Location: Sydney

Salary description: AUD $130k - $150k

  • $100-150k AUD Equivalent
  • Permanent
  • 7 to 10 years of experience

Our client is seeking a high quality candidate with broad regulatory compliance experience in financial services.

The role will involve monitoring internal control so will consistently look to improve and maintain the pre-exisiting compliance framework.

The candidate should also have experience working in a funds management or custody business, although strong experience with regulatory compliance in a financial services company will also be considered. The person should also be comfortable and willing to conduct assurance of controls.

The Compliance Manager provides transversal regulatory watch and monitoring of regulatory evolutions that have an impact of the business’ active within the Territory as well as the operational monitoring of the associated projects from the Compliance point of view. They also provide support to the Compliance – Advisory team in the implementation of transversal regulatory projects.

Other responsibilities:

  • Maintain the compliance / control plan for compliance evolutions together with Compliance advisory, walk though compliance / control plan changes with obligation owner, and conduct design effectiveness test of proposed new controls (if applicable)
  • Ensures the quality and integrity of compliance policy and procedures and maintain a repository for same, creating or updating existing local policies to include evolutions were required (highest standard principle).
  • Develop training program for evolutions as appropriate, and conducts training sessions (for face to face training, coordinate with Compliance – Advisory)
  • Advice: Support Compliance – Advisory with advice in any local regulatory or Group policy technical support, Coordinate and manage all regulatory inspections related to the territory
  • Regulatory Office: Maintains all compliance and regulatory register
  • Governance and reporting: Coordinating / producing all transversal territory wide, regional and global reporting

Requirements

  • At least 5+ years in a financial services institution compliance function
  • 5+ years of operations, business analysis experience with a strong compliance background
  • Bachelor’s degree in a business related discipline
  • Excellent knowledge of Australian standards for risk and compliance management
  • Also beneficial but not essential is knowledge of FATCA, AEOI-CRS, and knowledge of New Zealand regulatory change
  • Sound knowledge of principles and practices of licence obligations and compliance standards
  • Up to date with regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX, FMA), as well as industry association initiatives
  • Knowledge in financial services, financial markets and products and their activity drivers
  • Specific knowledge of custody, banking, operations, fund accounting and applying a compliance framework

Contact Us in Sydney

LEVEL 26, 1 BLIGH STREET
SYDNEY NSW 2000

Phone:+61 2 8246 8900

Hiring Staff: hire@antonmurray.com

Seeking Work: apply@antonmurray.com

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