Senior Compliance Manager

at  Hays

SCBD, New South Wales, Australia - 00000

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate01 Aug, 2021Not Specified01 May, 2021N/APreparation,Risk Assessment,Decision Making,Regulatory Requirements,Disclosure Statements,Control Framework,Professional Ethics,Compliance Testing,Regulatory ComplianceNoNo
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Description:

Rare opportunity to join a prestigious Foreign Bank in their Asset Management dept in a Senior Compliance role

You will be part of the Asset Management department in a global bank to ensure compliance with applicable local regulatory requirements as well as Group Compliance standards and report to the Head of APAC Compliance.

  • Subject matter expert in local regulatory requirements and Group compliance policies
  • To monitor the quality and completeness of implementation of the Group Compliance framework
  • To act as an escalation and decision-making point for material Compliance topics impacting the bank
  • Maintain an annual Compliance Action Plan defining clearly the Control plans and coverage for all Compliance domains - Financial Security, Market integrity, Professional Ethics and Client Interest Protection.
  • Reviewing marketing, promotional and communication materials
  • Assist with due diligence requests for information from Responsible Entity (Annual Investment Manager Due Diligence)
  • Provide recommendations to the business for projects and regular/ongoing BAU activities such as: third party agreements; new product initiatives, new and updated offer documents/product disclosure statements
  • Regulatory compliance (eg: ASIC, AFSL, AFCA) and its compliance and control framework and reputation
  • Perform quarterly or other regular compliance testing
  • Preparation of annual AML/CTF risk assessment and assist generally with related AML/CTF compliance matters
  • Assist in implementing compliance monitoring programs, policies and compliance projects including AFSL fit and proper and responsible manager monitoring
  • Manage the Risk Appetite Statement documentation obligations (ASIC RG 259)

Responsibilities:

YOUR NEW ROLE

You will be part of the Asset Management department in a global bank to ensure compliance with applicable local regulatory requirements as well as Group Compliance standards and report to the Head of APAC Compliance.

  • Subject matter expert in local regulatory requirements and Group compliance policies
  • To monitor the quality and completeness of implementation of the Group Compliance framework
  • To act as an escalation and decision-making point for material Compliance topics impacting the bank
  • Maintain an annual Compliance Action Plan defining clearly the Control plans and coverage for all Compliance domains - Financial Security, Market integrity, Professional Ethics and Client Interest Protection.
  • Reviewing marketing, promotional and communication materials
  • Assist with due diligence requests for information from Responsible Entity (Annual Investment Manager Due Diligence)
  • Provide recommendations to the business for projects and regular/ongoing BAU activities such as: third party agreements; new product initiatives, new and updated offer documents/product disclosure statements
  • Regulatory compliance (eg: ASIC, AFSL, AFCA) and its compliance and control framework and reputation
  • Perform quarterly or other regular compliance testing
  • Preparation of annual AML/CTF risk assessment and assist generally with related AML/CTF compliance matters
  • Assist in implementing compliance monitoring programs, policies and compliance projects including AFSL fit and proper and responsible manager monitoring
  • Manage the Risk Appetite Statement documentation obligations (ASIC RG 259).

WHAT YOU NEED TO DO NOW

Please apply now or for a confidential discussion, contact Philip Lewis on 02 8226 9752 or email your CV to philip.lewis@hays.com.au.


REQUIREMENT SUMMARY

Min:N/AMax:5.0 year(s)

Banking/Mortgage

Accounts / Finance / Tax / CS / Audit

BFSI

Graduate

Proficient

1

Sydney Central Business District NSW, Australia