Job Details

$110000 - $120000 per annum
Job Type
Mark Montgomery
about 1 month ago
This is a perfect opportunity for a Senior Compliance or Governance Analyst (or junior Manager) who wants to make a step up into a Group Compliance function responsible for ensuring all the different licensees across the business are maintained.

It is a common theme for Head of / Director level Compliance professionals to have deep experience in this area so it is a brilliant career builder for your CV. You will get a lot of face time with the Board and exco level stakeholders and be developed by a manager that knows everything about licensing obligations and is one of the best people in the business at training and developing staff.

If your an analyst who lacks the 3-5 years experience please still apply as I have a second, slightly more junior role in the same team.


The role will be responsible for supporting ERM Business Unit teams in Licence Management functions to implement and maintain a robust licence management framework across the Group by ensuring:
  • Efficiency's through centralisation to provide consistent processes; Group-wide oversight and control and SME capability.
  • Facilitate the development and management of communication across the Group in relation to licence management.
  • Understand the SME capability of the Group function.
  • Assist in the coordination of annual licence reviews (e.g. AFSL, ACL), periodical declarations and regulatory submissions.
  • Assist in the coordination of engagement with auditors (internal/external).
  • Contribute to the maintenance and periodic reviews of all licence management process related documents, including policies, procedures and declarations.
  • Assist in the provision of timely notices to appropriate regulators of changes in responsible manager, responsible person, responsible officer appointments.
  • Support monitoring, identifying, reporting and facilitating remediation of incidents of non-compliance.
  • developing, implementing and enhancing the Licence Management Framework;
  • achieving the team’s goals/deliverables;
  • internal reporting on licensing matters as appropriate.
  • Manage and evaluate applicable regulations and legislation's for licensing activities and ensure appropriate implementation.
  • Coordinate regulatory governance activities including licensing and regulatory correspondence record keeping. 
Role Requirements
  • Minimum of 3-5 years working in regulatory, risk and compliance or financial services sector.
  • Licence Management experience e.g. AFSL, ACL, handling RM or RP's or Regulatory Engagement
  • Strong understanding of the financial services industry, relevant regulators (e.g. ASIC and APRA), current and proposed financial services regulatory and legislative requirements.
  • Demonstrated experience in establishing and maintaining effective stakeholder relationships at a range of levels, ability to engage stakeholders and a proven ability to manage change effectively.
For further information on this role or to confidentially apply, please contact Mark Montgomery on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.