An exciting opportunity for a senior Compliance professional to take a regional leadership role within the Australian business of a global investment management organisation.
n
This is a high-autonomy, strategic compliance role, working closely with senior management and global Compliance teams to oversee the Australian regulatory framework and support the firm's investment and distribution activities.
n
The role will focus on:
n
n
- Leading the Australian compliance framework and regulatory agenda
n
- Providing strategic compliance advice to senior management and investment teams
n
- Oversight ofinvestment management and distribution compliance
n
- ASIC engagement, regulatory enquiries and licensing matters
n
- Compliance monitoring, risk assessments, incidents and remediation
n
- Advising on new business initiatives and evolving regulatory requirements
n
- Working across global Compliance,
Legal and Risk teams on cross-border matters
n
- Building and maintaining a strong compliance culture across the business
n
- Leading and developing the local Compliance team
n
n
We're ideally looking for:
n
n
- 10–15 years' Australian financial services compliance experience
n
- Deep knowledge of ASIC, AFSL and Australian regulatory requirements
n
- Experience with investment compliance, conflicts, personal dealing, best execution and trade allocation
n
- Proven experience engaging with ASIC
n
- Strong advisory skills and the confidence to work with senior investment and business leaders
n
- Experience operating within a global / matrixed setting
n
- A strategic, commercially minded approach with the ability to operate autonomously
n
📌 Senior Compliance Lead - Global Investment Manager (New South Wales)
🏢 Platinum Pacific Partners
📍 New South Wales
Reply to this offer
Impress this employer describing Your skills and abilities, fill out the form below and leave Your personal touch in the presentation letter.