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Compliance Manager (Financial Services)
Описание вакансии
Текст:
TL;DR
Compliance Manager (Financial Services): Managing Australian regulatory, contractual, AML, financial crime, and internal control compliance for an investment management business with an accent on governance frameworks, regulatory change, audits, and ASX reporting. Focus on maintaining the AML Program and FATCA/CRS oversight, reviewing marketing and client reporting, and coordinating incident, breach, and compliance committee activities.
Location: Melbourne, Victoria, Australia; hybrid schedule with at least four days per week in the designated office and one day outside an office
Company
is a global investment management firm providing investment strategies and vehicles to clients worldwide.
What you will do
- Identify and maintain compliance with Australian financial services, corporate, contractual, and managed investment scheme obligations.
- Maintain the governance, risk, compliance, and internal controls frameworks in line with local and group standards.
- Advise the business and APAC Regulatory Change Committee on new and changing regulations.
- Act as the local subject matter expert for substantial shareholdings reporting to the ASX and for AML/CTF and financial crime matters.
- Manage compliance incidents, breaches, errors, complaints, audits, remediation activities, and regulatory reporting.
- Review marketing materials and client reporting, provide compliance training, and participate in risk and oversight committees.
Requirements
- Experience managing compliance, regulatory, risk, and internal control requirements in a financial services environment.
- Knowledge of Australian financial services regulation, managed investment schemes, contractual obligations, and ASX reporting.
- Experience with AML/CTF programs, FATCA/CRS oversight, conflicts of interest, personal trading, and gifts and entertainment controls.
- Ability to support audits, compliance monitoring, incident management, remediation, and regulatory change assessments.
- Ability to work in the Melbourne office at least four days per week under the workplace policy.
Culture & Benefits
- Hybrid workplace model with one day per week working outside an office.
- Generous annual leave and flexible paid time off.
- Learning and development programs.
- Health and wellbeing benefits.
- Parental leave benefits and an employee stock purchase plan where applicable.