Job Details

$220,000 - $250,000 inclusive of superannuation + bonus
Job Type
Mark Montgomery
about 1 month ago
This is an excellent opportunity for a senior compliance manager with a background working within Fund Management, Wealth Advice or Corporate Trusts to join one of Australia's premier financial services business during a period of growth and international expansion.

The role acts as 2IC to the Head of Compliance, working with the wider compliance team to maintain and implement the Compliance Framework to ensure execution of compliance strategy in accordance with all regulatory requirements and deliver good client outcomes.
This organisation is renowned for having an excellent work culture and the compliance team is full of talented individuals who are excellent at what they do. People tend to join this organisation and stay working there for the long term.
  • Lead members of the Compliance team, supporting and coaching for performance and development
  • Work with the CRO leadership team and senior stakeholders to drive good risk culture and good risk outcomes across the Group
  • Work with the Risk and Compliance business partners and the business teams to implement all aspects of the Compliance Frameworks including:
    • Compliance policies
    • Compliance plans
    • Compliance training
    • Compliance monitoring
  • Licence management including maintenance of AFSLs, ACLs, RSE; RMs and RPs, authorisation of advisers – financial adviser register
  • Business owners of MCO system; manage MCO including staff queries - personal trading, gifts
  • Assess new business to ensure required licensing is in place
  • Mergers and acquisitions – compliance advisory services
  • Lead by example to foster a culture of knowledge sharing and collaboration across the broader CRO teams,
  • Assist in developing and delivering the CRO team strategy, and
  • Positively contribute to all aspects of the CRO leadership team discussions, debate and decision making.
Skills & Experience
  • 12+ years’ experience in compliance roles, preferably with considerable experience in leading teams
  • Extensive financial services experience essential
  • Experience within Wealth Advice, Fund Management or Corporate Trustee is highly preferred
  • Law, finance, accounting or business degree

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.