Senior Risk & Compliance Officer (Australia and New Zealand)

- Monitor the regulatory setting and assess the impact of regulatory changes on current and new clients.
- Provide advice to business unit in relation to regulatory compliance matters.
- Develop and deliver training on compliance matters to staff and investment managers.
- Respond to regulatory queries - ASIC / AUSTRAC / ATO / Federal Police / Other in relation to fund and trustee services matters.
- Oversee response to fund clients-related incidents and complaints, using technical judgment to assess, review, and help resolve issues with a focus on robust outcomes and regulatory expectations in collaboration with the corporate compliance officer.
- Maintenance of board, responsible managers & staff training plans and registers.
- Maintain policies and procedures related to fund clients and corporate authorisations
- Manage and maintain complaints mailbox, registers, including breaches, complaints, incidents and reviews.
- Oversee response to client-related incidents and complaints, using technical judgement to assess, review, and help resolve issues.
- Maintain compliance plans for all retail funds.
- On establishment oversee the registration of compliance plans.
- Conduct regular compliance monitoring & reporting for all retail scheme compliance plans.




- Manage external audit process of all compliance plan audits.
- Reviewing Target Market Determination documents as part of the Design and Distribution Obligation for TMF Group.
- Develop and deliver training to staff and investment managers on compliance obligations relating to retail funds.

Corporate Authorised Representatives Oversight & Compliance

- Review and sign-off on due diligence undertaken on authorised representatives to be appointed.
- Responsible for the ongoing monitoring of authorised representatives in accordance with our representative's management policy.
- Respond to regulatory queries and engage with compliance in relation to regulatory matters related to authorised representatives.

Outsourced Service provider oversight and monitoring

- Maintain register of all outsourced service providers.
- Conduct regular reviews of current and potential outsource arrangements to ensure adequacy and compliance with Outsource Policy and report to relevant Boards.
- Undertake due diligence on proposed third party organisations for the provision of outsourced services.
- Conduct regular monitoring of the sufficiency of services provided in accordance with the outsource policies and compliance schemes where relevant.

📌 Senior Risk (Melbourne)
🏢 Tmf Group
📍 Melbourne