Job Title: Compliance Manager
Key Responsibilities:
* Provide advice and oversight on compliance risks, including provision of ongoing advice to the business;
* Assist with monthly and annual compliance reports;
* Undertake and maintain appropriate compliance monitoring programs and thematic reviews of compliance risks;
* Support the business on risk and compliance matters for alternative products;
* Assist in managing corporate risk and compliance as directed or supervised;
* Assist in monitoring the impact of regulatory change and implementing action plans;
* Maintain compliance registers: breaches, incidents, conflicts of interest, personal trading, restricted companies;
* Assist with Anti-Money Laundering (AML) and Know Your Customer (KYC) matters, reviews, and audits;
* Support drafting responses to clients' compliance questionnaires and other requests;
* Assist with other compliance project work and reporting as required;
* Assist with the preparation and review of product disclosure documentation.