Compliance Manager - Funds and Investment Management

Summary about this job

Detail information about job Compliance Manager - Funds and Investment Management. Terms and conditions vacancy

• ASX Listed Financial Services Organisation
• Funds and Platforms
• 1 Direct Report

The position of Compliance Manager would suit someone who is familiar with the components of an effective group compliance framework and who has experiencing in building and implementing effective enterprise wide compliance frameworks. The position involves change management so effective communication, people management and influencing skills are important. Great opportunity to join a dynamic, rapidly growing financial services blue chip organisation.

Key duties will include:

• Building and implementing an enterprise wide compliance framework that reflects relevant industry regulatory obligations
• Working closely with the relevant Business unit heads to build out the existing business unit compliance framework and to build and implement an enterprise wide compliance framework
• To develop oversight and monitoring of outsourced functions e.g advice, licensees, investment managers and sub-custodians
• To develop oversight and monitoring of procedures in relation to Advice Licensee conduct
• Oversee the AML programme
• Provide Privacy Advice
• Provide compliance training
• Identify business impacts of regulatory change and to provide advice
• Manager AFSL compliance and license variations

The ideal candidate will have had similar experience in building and implementing group or enterprise compliance frameworks. Experience is working across funds, management investment schemes and/ or IDPS is essential. The ability to lead and drive outcomes and to deliver to agreed timelines is also essential.

Please apply online by sending your resume to Catherine Wolfe-Coote in Microsoft Office Word.