My client a nationally known Super Fund are looking for a Compliance Manager to join the team. Reporting into the Head of Compliance, the main focus of the role will be in the implementation of the Compliance Management Framework, and the provision of expert advice on regulatory requirements, regulatory changes and compliance risks. In addition, the Compliance Manager will also assist the Head of Risk & Compliance in the ongoing development of compliance policies.
The Compliance Manager will work closely with the business, and as such the person will need to have well developed relationship management and communication skills and a good sense of business acumen Key Duties & Responsibilities: Monitor changes in the regulatory environment and work with relevant business areas to assess the implications for the Fund, and provide information updates, advice and training as needed. Perform compliance reviews of marketing materials and provide feedback to help the marketing team meet business objectives and satisfy compliance obligations. Perform compliance review and provide advice on a range of key documents including Product Disclosure Statements, Factsheets, Significant Event Notices, Annual Reports and website content.
Manage the process for the reporting of risk and compliance matters to the Board or Board sub-committees as required. This will involve the collection and review of information provided by business units, and the writing of updates on compliance matters and regulatory matters. Investigation of incidents and compliance breaches to identify event causes and the implications of these from a regulatory perspective, as well as reporting on these as needed (including involvement with liaison with regulators).
Proactively lead and coordinate the compliance obligations attestation program for the Fund, and follow-up on issues as needed. Assist in managing responses to regulators, and auditors on compliance and regulatory related matters. Provide training and coaching on compliance issues to staff as needed.
Provide advice to the business on compliance matters related to key superannuation legislation Assist the Head of Risk & Compliance on activities as required in areas such as: the ongoing development of compliance policies, and the identification and assessment of strategic challenges that may emerge from regulatory changes. Skills & Experience: Personal ethics and integrity. A professional background in compliance or law.
Good understanding of the financial services industry, or another highly regulated industry. Attention to detail, and ability to understand both the intent of regulators and the business context. Ability to constructively challenge, consult and advise, whilst maintaining excellent working relationships.
Ability to effectively negotiate, influence and engage a broad range of internal and external stakeholders. Strong communication skills, both written and verbal, to inform and/or influence audiences. The ability to cond....