Compliance - Funds Management

Summary about this job

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

Compliance Manager

An exciting opportunity for a compliance officer with either investments, superannuation, insurance, and/ or wealth experience to join a Responsible Entity in Sydney CBD.

This role is responsible for managing the compliance duties of 5 Retail Funds.

You will be part of a small team and be involved in a collaborative working environment, relatively flat structure with exposure to directors and senior management.

This is a great opportunity if you have been or are limited in your current role and want to take the next step in looking the compliance duties under your own accord.

Key responsibilities:

• Working closely with the Managing Director on policy.
• Maintaining the compliance committee.
• This role will be key in managing the framework and controls, conducting compliance reviews, provision of compliance advice, and reporting to the Board.
• Providing advice to departments on regulatory changes

• Investigation of any regulatory breaches and analysis of causes

• Big drive on compliance culture
• Run training programs for employees

Your background:

• Well-developed communication skills and professionalism
• Experience with compliance breaches and incident reporting
• A team player, not afraid to take on a diverse role with exposure to senior management and directors
• Experience in license management and policy review
• Knowledge in financial products
• Experience in legal/compliance/regulatory

If this role sounds like something you'd be interested in please apply in the first instance by emailing Lilly Case at [email protected]