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Senior Compliance Manager

Key Accountabilities

  • Management and implementation of systems, policies, and procedures in place to ensure the Group’s compliance with applicable laws, regulations and standards and corporate policies and procedures
  • Engaging with internal and external stakeholders to proactively communicate and manage the Group’s compliance responsibilities and framework
  • Maintaining operational and regulatory compliance including AFSL framework
  • Manage, develop, and improve the existing compliance framework including management system processes, documentation, and policies to ensure compliance in line with evolving business and regulatory requirements
  • Complete compliance, audits, reporting and implement solutions
  • Breach and incident reporting including issues assessments 3
  • Training in relation to regulatory requirements and compliance management system, including compliance frameworks, policies, and procedures
  • Act as the Group’s Privacy Officer
  • Maintain strong working relationships with key stakeholders including internal, clients, regulators, and industry associations/bodies.

Key Technical Capability/Qualifications:

  • Relevant experience as a Compliance Manager providing analysis, advice, system development and implementation across general operational risk and compliance
  • Legal, finance, accounting, or business qualifications with a minimum of 5 years demonstrated experience
  • Licensing, financial services and/or asset management experience (essential)
  • Knowledge of the AML/CTF Program (essential)
  • Excellent communicator and relationship manager
  • Understanding of risk and controls required in a highly regulated and complex environment
  • Demonstrated ability to work effectively in a team environment and a willingness to undertake a variety of tasks and display initiative.

Key Attributes:

  • Holds yourself and others accountable to the highest in moral and ethical standards
  • Demonstrates ability to problem solve by implementing sustainable solutions
  • Curious and courageous in uncharted territory
  • Values working collaboratively and inclusively to deliver collective impact
  • Uses intellect and street smarts to think ahead, evolve ideas and push boundaries
  • Down to earth, purposeful and humble in your approach
  • Values and prioritises team wellbeing

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