You will be joining a leading alternative investment manager as the Legal and Compliance Manager working closely with the executive leadership team and broader business stakeholders within a growing and dynamic work culture.
About the Company Our client is a fully independent wealth and asset management firm committed to providing the highest quality solutions to financial clients across the Asia Pacific. They pride themselves on their genuinely entrepreneurial approach coupled with the very highest standard of leadership.
About the Role Responsibilities include:
Manage key regulatory risk through appropriate level of controls over the businessReview, develop and oversee ethical practices, internal policy, and legal and regulatory requirements implementationOptimise the performance of the Policy & Regulatory framework working and reporting directly to the board of directorsConduct internal audits to ensure compliance with internal policies and external regulationsAddress any compliance issues identified during auditsMaintain all compliance, regulatory registers and internal systemDirect liaison with regulatory bodies as requiredDesign and distribute compulsory training schedule covering all business lines ensuring staff are aware of compliance requirements and ethical standardsAbout You You have:
Current legal qualifications and practising certificateSound knowledge of principles and practices of license obligations and compliance standardsUp-to-date with regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX, FMA, FAA)Good understanding of both ACL & AFSL licensesKnowledge in financial services including lending, financial markets and productsAboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Phoebe Garrett on 02 8289 3134 for a confidential discussion.
Contract Type: FULL_TIME
Specialism: Legal
Focus: Financial Services
Industry: Legal
Salary: Attractive Salary Package
Workplace Type: Hybrid
Experience Level: Mid Management
Location: Sydney
FULL_TIME Job Reference: 1976880/001
Date posted: 4 June 2024
Consultant: Phoebe Garrett
sydney legal/financial-services 2024-06-04 2024-07-04 legal Sydney New South Wales AU Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png true
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