Apply: Compliance Manager, Wealth Distribution

Reference: BH-156021-1
Role Summary:

We are looking to fill a critical business-facing role in the 2nd LoD, to provide compliance support, advice and sign-off to Consumer Wealth Distribution. The role suits a confident compliance professional who can think on your feet and thrive in a busy and dynamic environment, consistently adding value to a group of Financial Advice stakeholders.

 
Your Responsibilities:
  • Play a crucial part in supporting Bank Wealth Distribution and Analytics, Digital and Marketing teams
  • Provide proactive and reliable compliance advice regarding advertising and distributing consumer wealth products
  • Sign off periodic and ad hoc materials (customer & advisor facing) adhering to APRA, ASIC and OAIC guidelines
  • Perform compliance assessments to identify immediate and emerging risks and develop a framework for incidents management and on-going monitoring
  • Promote a rigorous, forward thinking and practical approach to the Group's Digital & Marketing Compliance Framework in line with regulatory changes
  • Perform targeted reviews of key risks and controls
  • Run workshops and compliance training to share learnings and best practice to both the Business and the Risk & Compliance teams
  • Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing to the team's credibility

Skill Requirements:
  • 5 years of recent compliance, risk assurance or legal experience in Financial Service (preferably in Wealth Management)
  • Degree qualified in Business, Finance, or Legal
  • Pragmatic operator who can thrive in a highly dynamic commercial environment and to get their hands dirty
  • Can think on your feet in the best interest for the business yet whilst remaining a strong compliance mindset
  • Strong project management and F2F stakeholder influencing skills
  • Understanding of relevant laws, regulations and regulatory guides underpinning a Financial Advice business (Corporations Act Chapter 7, Privacy Law, Conflict of Interest, ASIC Regulatory Guides, OAIC etc.)

For further information on this role or to confidentially apply, please send an up to date CV to eugenag@ethosbc.com.au or/and contact Eugena Gong on 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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