We are partnering with a leading global investment manager to support the recruitment of a Senior Compliance Manager to work closely as 2IC with the APAC Head of Compliance in managing all compliance responsibilities for the Australia entity.
Key Responsibilities
* Ensure compliance with applicable regulatory requirements and market best practice, including AML, Sanctions, Marketing and Distribution compliance.
* Manage incidents and breaches, ensuring they are appropriately assessed, remediated and reported.
* Oversee regulatory and licensing matters, including licence application, variation, cessations and related licensing reporting requirements.
* Manage the first line to ensure compliance with applicable law, regulation and policies.
* Build strong relationships with relevant stakeholders and provide active advice on all compliance related matters.
* Aid multiple projects from a regulatory perspective within regulatory change etc.
Key Requirements
* At least 5 years' senior experience within a relevant risk/compliance role within a relevant industry i.e. Investment Management, Asset Management, Consulting etc.
* Strong AFSL knowledge and experience engaging with relevant regulatory requirements.
* Holder of a relevant degree in Law, Accounting, Business, Finance, Economics or other related field.
* Knowledge of fixed income, equities, listed ETF's and LIT's is an advantage.
* Strong technical knowledge and ability to work in a lean team meeting key deadlines as required.
* Strong communication ability both locally and with global teams as needed.
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