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Senior Compliance Manager

Hays - Sydney, NSW

Banking & Finance
Source: uWorkin

Source: uWorkin


This company are a very well respected, foreign bank based in Sydney. They offer a dynamic, thriving and flexible working culture.

Your new role
You will be part of the Asset Management department in a global bank to ensure compliance with applicable local regulatory requirements as well as Group Compliance standards

  • To monitor the quality and completeness of implementation of the Group Compliance framework
  • To act as an escalation and decision-making point for material Compliance topics impacting the bank
  • Maintain an annual Compliance Action Plan defining clearly the Control plans and coverage for all Compliance domains - Financial Security, Market integrity, Professional Ethics and Client Interest Protection.
  • Reviewing marketing, promotional and communication materials
  • Assist with due diligence requests for information from Responsible Entity (Annual Investment Manager Due Diligence)
  • Provide recommendations to the business for projects and regular/ongoing BAU activities such as: third party agreements; new product initiatives, new and updated offer documents/product disclosure statements
  • Regulatory compliance (eg: ASIC, AFSL, AUSTRAC, AFCA)
  • Perform quarterly or other regular compliance testing
  • Preparation of annual AML/CTF risk assessment and assist generally with related AML/CTF compliance matters
  • Assist in implementing compliance monitoring programs, policies and compliance projects including AFSL fit and proper and responsible manager monitoring
  • Manage the Risk Appetite Statement documentation obligations (ASIC RG 259).
What you'll need to succeed
  • Tertiary qualifications in a relevant discipline e.g. Commerce, law, accounting or similar
  • Experience and knowledge in financial services compliance and ideally Asset Management Compliance experience
  • Planning & Execution - Establishes courses of action for self to ensure work is completed efficiently
  • Risk Awareness
  • Accountability - Demonstrates perseverance and is accountable for own actions
What you'll get in return
Based in the office in Sydney CBD, 12 month FTC month contract at a foreign branch bank in asset management as a Senior Compliance Manager in a broad role.

What you need to do now
Please apply now or for a confidential discussion, contact Philip Lewis on 02 8226 9752 or email your CV to philip.lewis@hays.com.au.

LHS 297508

Job ID: 2479765 oChhJUadI38c0rRr

Posted Date: 29 Mar 21

Company Overview

About Hays
Hays is the leading global specialist recruiting group. We are the experts at recruiting qualified, professional and skilled people worldwide, being the market leader in Asia Pacific and the UK and one of the market leaders in Continental Europe and Latin America. We operate across the private and public sectors, dealing in permanent positions, contract roles and temporary assignments.

Hays believes the right job can transform a person's life and the right person can transform a business. They are passionate about connecting candidates with the right job for them.

Hays operates in over 40 locations throughout Australia and New Zealand. They find permanent jobs for over 15,000 people a year and temporary and contract assignments for over 25,000 people a year and at any one time employ over 20,000 temporaries and contractors.