Title: Senior Manager Governance Location: Sydney CBD
Note: Please note, due to international COVID related boarder closures - Only candidates based in Australia will be considered for shortlisting
Assist in the design and development of the Enterprise Compliance Framework, and implement procedures to ensure conformity with legal, regulatory and internal policy requirements and obligations.
Assist in the implementation of the Compliance Framework including:
The Compliance Program whereby policies and procedures are adopted to identify mitigate and manage compliance risk;
The Obligations Register to identify the compliance and policy requirements that
the organisation will comply with;
The Conflicts of Interest and Delegations Framework to identify, educate and
manage conflicts of interest and ensure appropriate delegations are in place;
The AML/CTF Compliance Programme; and
The Compliance Assurance Program, outlining the control testing process and
procedures performed by Risk Management.
Provide proactive support, advice and assurance to the business re:
Interpreting compliance requirements for new regulatory requirements (Domestic and International);
Emerging risks; New services; and New products.
Provide advice as to the formal content of external communications associated with
reporting Breaches and Incidents (Events) as detailed in the B&I Policy.
Assisting the preparation of regular compliance reporting to various committees and the
Head of Governance.
Supporting enterprise and risk management projects and initiatives.
Manage enterprise and client specific attestations.
Recommending improvements to policies and procedures, to maintain independence of
functions and reduce non-compliance.
Identify, and propose the suggested management of all regulatory issues and changes that
will or may impact on how the organisations does business.
Manage the AML / CTF and sanctions compliance requirements.
Manage the Delegations of Authority consistent with the organisations Act, Delegations
Framework and NSW government regulations
Support communication of compliance initiatives (e.g. COI, Conduct, Delegations,
AML/KYC, Data Security) and regulatory changes to staff through training and education.
Provide support for the suggested management of all regulatory issues and
changes that will or may impact on how the organisation does business.
Key Capabilities Required for the Position
Sound knowledge and understanding of audit and compliance principles including financial and non-financial risks.
Experience in the development and implementation of risk policies and practices.
Strong verbal and written communication skills with the ability to communicate complex
legal principles and requirements clearly and effectively.
A strong understanding of contemporary risk and compliance systems and the ability to
contribute to their evolution.
Sound knowledge of the domestic and international regulatory environment.
An understanding of the Dodd-Frank, FATCA,, EMIR and MiFid II regulatory frameworks.
A comprehensive knowledge of the Australian AML/CTF and sanctions environment.
Experience and Qualifications
Tertiary qualification in commerce, law or finance.
At least 8 years' experience implementing and solving compliance issues and developing compliance practice.
Financial services experience, sourced from either financial markets or investment
management sector, with prior responsibility for developing and enhancing regulatory and
enterprise compliance programs.
Experience with OTC derivatives documentation and reforms, and regulatory filing requirements.
