Apply: Legal & Compliance Manager

Reference: BH-181138
A leading financial services business is seeking a dedicated and experienced Legal and Compliance Manager. This pivotal role reports directly to the Executive Manager of Operational Risk and Compliance and offers a unique opportunity to provide comprehensive legal and compliance services across all business areas. The successful candidate will play a crucial part in ensuring the company meets its Australian Credit Licence obligations and complies with regulatory requirements across the financial services industry.

Key Responsibilities:

Regulatory Advice and Services
  • Offer expert advice on regulatory matters and complex legal issues.
  • Collaborate with external legal counsel to review and negotiate contracts.
  • Oversee compliance of correspondence, advertising, and other materials with regulatory standards.
  • Negotiate and draft amendments to standard form contracts.
  • Assess the impact of new or amended legislation and provide guidance to the business.
  • Serve as the subject matter expert on key legislation including NCCPA, Corporations Act, ASIC Act, AML & CTF, Privacy, PPSA.
Dispute Resolution Management
  • Advise on the resolution of complex customer complaints and disputes escalated to regulatory authorities such as AFCA and OAIC.
  • Manage litigation, including responding to subpoenas and statutory notices.
Projects
  • Act as a subject matter expert on regulatory matters for business projects.
Attributes and Experience:
  • Law degree with a strong academic record.
  • Current Australian Legal Practising Certificate 
  • At least 3 years of post-admission experience in the financial services industry.
  • Experience in managing customer complaints and liaising with External Dispute Resolution bodies.
  • Comprehensive knowledge of regulatory obligations under NCCPA, AML/CTF, Privacy, and PPSA laws.
  • Strategic thinker with the ability to ensure commercially compliant outcomes.
On offer is a dynamic and flexible work environment, a competitive salary and benefits package and enormous career growth and development potential.

For further information on this role or to confidentially apply, please contact Matt Quinn 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.
Company Background:

Ethos BeathChapman (EBC) is a global group of executive recruitment experts in Australia, Asia and EMEA, with a broader network beyond. We connect exceptional people to exceptional companies.

EBC’s mid-sized agility and solutions-focused approach enables us to flex where traditional recruitment agencies have failed, and scale beyond the reach of boutiques. Our multidisciplinary expertise covers corporate and specialised functions across Finance, Technology, Commerce and Government recruitment markets, among others.

Established 2005 in Sydney, EBC today has six offices worldwide in Australia, Singapore, Hong Kong, Japan, Netherlands and the UK. Part of the Nikkei-listed Will Group, Inc, we own Quay Appointments and our staffing and managed solutions specialists, CONNECT.

Let’s connect, and make exceptional happen, together: www.ethosbc.com

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