EMPLOYMENT

Description Compliance Specialist (Licensing), Australia & New Zealand Sydney, Australia Hybrid About the role You will report directly to the Associate Director, Compliance and Risk with a dotted reporting line to the Regional Compliance Director, APAC and also be responsible to ensure risk and compliance with the relevant legal and regulatory requirements as well as in-house policies and procedures for Australia and New Zealand Corporate, Funds and Capital Markets business. Your key responsibilities will include: Provision of independent sound risk & compliance advice and support on client acceptance based on the prevailing company and group policies as well as the relevant local legislation, rules and industry practice Liaise with ASIC, FMA, and other regulators To conduct risk & compliance monitoring on a timely basis, including but not limited to regular review of client entities, transaction monitoring, and specific thematic review(s) Provide compliance support to Corporate Legal Solutions (CLS), Funds and Capital Markets business lines, including regulated trustee and agency services. Ensure compliance with AFSL obligations and liaise with internal stakeholders on licensed entity governance. Support the implementation and monitoring of compliance frameworks for licensed entities, including regulatory reporting and breach management. Liaise and deal with Internal Audit inspections or enquiries To conduct risk & compliance investigation pertaining to incidents, complaints or administration issues (where required) To conduct risk & compliance induction to new staff and provide ongoing risk & compliance training to existing staff To prepare relevant risk & compliance management information & reports To participate in ad hoc risk & compliance related projects What technical skills, experience, and qualifications do you need? Degree holder in Law, Accounting, Finance or related discipline Minimum of 5 years’ experience in compliance Solid experience in managing risk & compliance framework in accordance to regulatory and statutory requirements Experience with AFSL obligations and licensed entity frameworks. Familiarity with ASIC and FMA regulatory expectations. Prior experience working with regulated trustee, escrow, or agency services is highly desirable. Sound knowledge of local regulations including both Australia and New Zealand rules and regulations Strong organization and time management skills Ability to independently and effectively work with different stakeholders Good command of both written and spoken English. Independent, meticulous, pro-active, attentive to details, self-motivated, outspoken, keen to learn, and capable of meeting new challenges with excellent communication skills skills LI-KK1