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Compliance Officer

Job Seekers Australia Risk & Compliance Financial Services

Job Summary

  • Sydney
  • Contract
  • BBBH796473
  • Oct 19, 2021
  • $800 - $1000 pd
Job Description

To help more and more people experience financial well-being. Recognised for the leadership in corporate social responsibility, sustainability, investment stewardship, diversity and inclusion .

Compliance Officer - 6 months Contract

Exciting opportunity to join a global company which is dedicated to helping clients, employees, shareholders and communities achieve long-term, financial well-being.

The client

Our client is a global investment manager, serving the Australian market with a commitment to helping more and more people plan for their financial future.

In pursuit of this, a focus on long-term sustainability is embedded across their business. From integrating environmental, social and governance (ESG) practices into its investment processes to creating positive social impact by serving communities in Australia, we are dedicated to helping clients, employees, shareholders and communities achieve long-term, financial well-being.

About the role

Provide compliance and regulatory advice to the Australian business and undertake regular compliance monitoring, surveillance and reporting activities:

  • Compliance with local, regional and global laws, regulations, best practices and Company's policies and procedures; and
  • Participate in global and/or regional compliance initiatives to ensure global best practice and consistency.
  • A strong understanding of the company's fiduciary obligations and its commercial and business objectives.
  • Liaise with regional and global compliance and business colleagues.alia business and the existing Compliance Team.

Key responsibilities

  • Oversee the administration and operation of existing compliance policies and procedures and assisting in the drafting and review of new policies and procedures.
  • Assist in the drafting and review of business policies.
  • Liaise with and assist internal and external auditors.
  • Liaise with regulators and deal with sensitive and complex regulatory matters.
  • Oversee and implement a Compliance Program focused on meeting Company's local regulatory obligations, regulatory expectations and maintenance of its regulatory approvals.
  • Oversee and coordinate preparation of quarterly reporting to the external Australian Compliance Committee.

The Successful Candidate

  • A minimum of 8 relevant working experience in regulatory compliance at an asset management or other financial services organisation. Experience in a global organisation is highly preferred.
  • Understanding of the regulatory environment in Australia. Understanding or exposure to other regulatory regimes (such as Hong Kong/China or other APAC jurisdictions) is advantageous.
  • Proficiency in both written and spoken English.
  • Ability to interact and negotiate with key internal and external business stakeholders.


Consultant Details

Consultant Details

Fernanda Neves dos Santos
Fernanda Neves dos Santos
  • Associate Consultant