Monitor the regulatory environment and assess the impact of regulatory changes on current and current 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
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
Job Requirements:
Relevant tertiary qualifications, with a minimum of 5 years of experience within the Australian financial services risk, compliance environment
AUSTRAC/AFSL/AML - CTF experience
Policy and Governance experience within a regulated entity interfacing with regulators.
In-depth knowledge of Corporations Act and other applicable legislation.
Strong working knowledge of the legal and regulatory framework
Experience of influencing through change and working in complex environments
Ability to organise and manage multiple tasks/projects simultaneously
Quality focus with high attention to detail
Exceptional stakeholder management, communication, and problem-solving skills