Compliance Officer
We are seeking an experienced and dedicated Compliance Manager to maintain the integrity, compliance, and governance framework of our company.
* The manager will be jointly and severally responsible with the Board for ensuring the business complies with its obligations under the Corporations Act 2001 (Cth), ASIC regulations, and specific authorisations.
* This role offers flexibility as a part-time arrangement or a full-time position, depending on the candidate's availability and ongoing needs.
Salary starts at $135,000 based on skills and experience. Key responsibilities include AFSL Responsible Manager & Compliance Oversight, Core Authorisation Management, and Risk, Training, and Supervision.
Key Responsibilities:
1. Continuous Compliance: Monitor, review, and approve client communication, marketing materials, and disclosure documents to ensure accuracy and compliance.
2. ASIC Liaison: Act as a primary point of contact and liaison for ASIC on compliance matters, inquiries, and breach reporting.
3. Governance Maintenance: Maintain and update the company's Compliance Plan, Breach Register, and Conflicts of Interest Register.
4. Reporting: Provide formal compliance reports to the Board/Directors on a regular basis, detailing key compliance metrics, identified risks, and necessary remediation actions.