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Support regulatory applications, maintain current regulatory licenses & compliance risk analysis.
Approval of compliance manuals, policies, and procedures.
Coordinate review of existing, new, and proposed regulations that are relevant to the firm and communicate to the appropriate business lines
Serve as the primary contact person for the competent authorities, provide advice, recommendation and respond to ad hoc queries from the Business regarding specialist Australian compliance matters.
Maintaining records and reporting including incident management and complaints resolution systems.
Oversees the remediation of non-compliance issues including timely resolution of Internal Audit findings, self-disclosed non-compliance issues, remediation commitments, and the recommendations of the Compliance Monitoring Plan.
Be part of the compliance committee with ongoing employee training and provide guidance and mentoring for the compliance team members.
Qualifications
Bachelor’s Degree (Preferably in Law, Finance, Business Administration, Accounting, or any AML and Compliance-related career).
Preferably ICA Certified Compliance Specialist or equivalent.
Minimum 1 year/Sound previous experience in the AML and Compliance function.
Good knowledge of the Corporations Act, ASIC, AFCA and AUSTRAC, and other local regulatory requirements is a must.
Sound proven compliance experience or relevant department experience at an ASIC-regulated firm or other financial institution.
