We are seeking an experienced Compliance Manager located in Sydney CBD for our client in Finance domain. The compliance manager is to provide strategic advice, develop, implement and maintain all necessary procedures and controls to ensure an effective compliance and risk framework that meets our legal and regulatory requirements in Australia. Being able to speak the language of Mandarin will be a bonus!
This role is responsible for the establishment and implementation of the company's compliance framework in relation to its AFSL obligations and domestic legislative requirements, ensure the business is incompliance with relevant rules and regulations while establishing and maintaining a structured risk and compliance approach to exercise controls to mitigate risks faced by the business.
- Be responsible for the provision of risk and compliance advice to the company;
- Establish and maintain a structured and systematic risk and compliance framework that takes into account obligations under the company's AFSL;
- Identify and evaluate risks faced by the business, and focusing on risks that adversely affect consumers or market integrity, this includes risks of non-compliance with the financial services laws;
- Establish and maintain compliance controls designed to manage or mitigate those risks, and fully implement and monitor those controls to ensure they are effective;
- Act as an independent and objective body that reviews, develops, analyses and evaluates the Securities compliance and risk function, its management systems, policies and procedures;
- Ensure staff are compliant with internal policies and procedures and suitably trained to perform their functions;
- Manage relationship with ASIC and engage with ASIC surrounding breach reporting, notices, regulatory visits, external meetings, market/trading issues, surveillance and ad hoc queries;
- Exercise due diligence and care in the formulation and implementation of a risk and compliance framework of the company, and prepare, maintain and submit all requisite regulatory reports.
WHO ARE YOU?
Ideally you will bring experience with, and comprehensive knowledge of risk and compliance ideally gained within the capital markets / brokerage sector in Australia. You will also be able to demonstrate strong stakeholder management with the ability to influence and negotiate when required, and prior experience in dealing with the regulators.
- Relevant Tertiary degree in a reputable university, post-graduate degree is a plus, with extensive knowledge of Australian securities rules, regulations and knowledge;
- Proven experience in developing quality Compliance and/or Risk management framework policy content, with at least 3-5 years' experience in financial services corporations;
- Strong understanding of compliance frameworks, financial services law, obligations and familiarity with policy requirements from ASIC, ASX etc.;
- Excellent self-management skills, interpersonal, presentation and communication skills as well as strong relationship management skills and the ability to interact with all stakeholders;
- Must be Eligible to work in Australia with a valid working Visa
- Being able to speak the language of Mandarin will be a bonus