Senior Compliance Manager

Hays Banking
Sydney, New South Wales, Australia
Competitive salary
03 Jun 2021
30 Jun 2021
Job role
Experience level
Rare opportunity to join a prestigious Foreign Bank in their Asset Management dept in a Senior Compliance role
Your new company
This company are a very well respected, foreign bank based in Sydney. They offer a dynamic, thriving and flexible working culture with a long standing history and tradition in Australia.

Your new role
You will be part of the Asset Management department in a global bank to ensure compliance with applicable local regulatory requirements as well as Group Compliance standards and report to the Head of APAC Compliance.
  • Subject matter expert in local regulatory requirements and Group compliance policies
  • To monitor the quality and completeness of implementation of the Group Compliance framework
  • To act as an escalation and decision-making point for material Compliance topics impacting the bank
  • Maintain an annual Compliance Action Plan defining clearly the Control plans and coverage for all Compliance domains - Financial Security, Market integrity, Professional Ethics and Client Interest Protection.
  • Reviewing marketing, promotional and communication materials
  • Assist with due diligence requests for information from Responsible Entity (Annual Investment Manager Due Diligence)
  • Provide recommendations to the business for projects and regular/ongoing BAU activities such as: third party agreements; new product initiatives, new and updated offer documents/product disclosure statements
  • Regulatory compliance (eg: ASIC, AFSL, AFCA) and its compliance and control framework and reputation
  • Perform quarterly or other regular compliance testing
  • Preparation of annual AML/CTF risk assessment and assist generally with related AML/CTF compliance matters
  • Assist in implementing compliance monitoring programs, policies and compliance projects including AFSL fit and proper and responsible manager monitoring
  • Manage the Risk Appetite Statement documentation obligations (ASIC RG 259).
What you'll need to succeed
  • Tertiary qualifications in a relevant discipline e.g. Commerce, law, accounting or similar
  • Experience in Financial Services Asset Management Compliance, ideally gained in Australia
  • Astute Risk Awareness
  • Accountability and demonstrates perseverance
  • Strong senior stakeholder engagement
  • Ability to influence others
What you'll get in return
Rare permanent opportunity at a prominent foreign branch bank in their Asset Management division as a Senior Compliance Manager reporting into senior leadership.

What you need to do now
Please apply now or for a confidential discussion, contact Philip Lewis on 02 8226 9752 or email your CV to

LHS 297508 #2500169

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