This newly created position will act as the second-in-charge to the regional Head of Compliance and play a pivotal role in the continued development of the regulatory landscape of the firm. The successful candidate can expect a varied day-to-day but limited to the following.
- Assisting in the maintenance of the firms AFSL compliance program including monitoring, breach handling and conflict oversight of the firm.
- Lead compliance monitoring programs, control testing and thematic reviews.
- Ensure compliance with the Corporations Act, ASIC guidance and trustee reporting requirements.
- Assist with the maintenance and enhancement of compliance policies, procedures and registers.
- Support response to ASIC inquiries, audits and regulatory change projects.
- Deliver compliance training and promote a strong compliance culture across the business
- A minimum of 6+ years' experience within a compliance/risk, regulatory affairs, or legal background.
- Strong understanding of the alternative funds/asset management industry
- Demonstratable experience managing AFSL obligations
- The ability to work within a fast-paced environment.
- Excellent written and verbal communication skills and strong stakeholder management.
