Compliance
Risk and Legal Compliance Specialist
Your new company
Leading provider of specialist financial products, services and advice to Industry Super.
Your new role for driving, supporting and facilitating an efficient and innovative compliance culture throughout. A key aim for the team is ensuring that meets all the requirements imposed on us by our regulators while continuing to perform our core functions and achieving our business objectives.
Role responsibilities:
- Providing due-diligence support to all areas of the group and external client funds, reviewing disclosure documents, presentations and marketing material against regulatory compliance requirements and internal business rules
- Supporting with the management and resolution of complaints, incidents and breaches;
- Assisting in the drafting, review and update of policies across the Group
- Drafting and review of reports, papers and submissions to management committees, industry bodies and regulators
- Assisting in the identification, assessment and management of risk and provide support to the business units in implementing the Risk Management Framework.
What you'll need to succeed
- Significant experience within the financial services sector
- Detailed knowledge of general risk, compliance, legal and regulatory issues
- Detailed knowledge of the Financial Services regulatory framework
- In depth understanding of the superannuation industry and financial planning sector and practices
- In depth knowledge of the Corporations Act, SIS Act, their related regulations and instruments and other relevant legislation (AML/CTF, privacy, complaints etc)
- Bachelor degree in Business, Finance or Law
What We Offer
- A salary package, inclusive of 12% employer superannuation contributions.
- Generous employee benefits including above award leave entitlements and paid parental leave;
- A fantastic team environment; and
**LHS 297508** #2689078