Compliance Senior Manager - Fintech

JS Careers is has been mandated to source a compliance professional for a leading FinTech firms in the Australian market. This organisation is looking for an ambitious and highly motivated compliance professional to join their Governance, Risk and Compliance function.

The Senior Compliance Manager will play a pivotal role in driving compliance & AML initiatives across the business. This involves supporting the sustainability of the firm while promoting and protecting the reputation, assets and effectiveness of the business through the outstanding delivery of compliance services and advice. 

The role involves regularly undertaking compliance and AML tasks, reviewing procedures, policy and framework and reporting to various regulators. The role is crucial to the continued improvement of compliance and AML/CTF management, ensuring compliance with all internal and external regulatory requirements in the process.

The successful candidate will have a strong background in AFSL licensing and AML/CTF requirements within a financial services environment. 

Key responsibilities:

• The ongoing development and delivery of the group AML and compliance framework, ensuring effective procedures & policies are in place, reviewed and are adhered to through regular monitoring.
• Maintaining various registers and procedures, management of licence conditions and ensuring ongoing compliance with external regulation, market practices and industry codes.
• Responsible for sign-off of externally published material, and ensuring its compliance with ASIC regulations and guidelines.
• Resolve compliance & AML/CTF issues as they arise, ensuring incidents and breaches are recorded in a centralised incident register.
• Ongoing oversight of the processes and accuracy relating to the management of PDS and FSG documents.
• Continued implementing of internal systems and controls to improve compliance reporting and visibility.
• Ensuring company members remain up to date and compliant through regular training.
• Working with stakeholders to ensure there is a proper compliance culture embedded into all areas of the business, including marketing and customer services.
• Provide monthly and ad-hoc compliance & operational risk reporting to internal and external boards and committees.
• Responsible for the timely provision of information to regulators, including periodic returns and ad-hoc information requested (including in relation to regulatory audits) by regulatory bodies.
• Maintain personal/professional development to meet the changing demands of the role, constantly updating your knowledge of market developments and changes to regulatory requirements.

Suitable candidates must possess : 

• 5+ years in a hybrid compliance & AML advisory role.
• Relevant compliance, legal or other relevant qualifications.
• Strong understanding of the current and emerging Australian regulatory environment.
• Strong knowledge and understanding of AFSL licensing requirements and ASIC and AUSTRAC regulations.
• Organised and self-motivated working style.
• Analytical approach.
• Able to work on own initiative.
• Proven track record of being able to maintain & implement compliance frameworks, sign off on financial promotions, manage monitoring, breach management, AML screening with strong reporting skills.
• Strong soft skills, able to work collaboratively with a close-knit team, especially in the role of providing compliance education and training.
• A career driven perspective, willing to learn, and keen to develop in a fast paced environment.
• Knowledge of the regulatory environment for retail banking and credit products.

For further information, please contact Ben Hunt on 02 8096 9*** / ********@jscareers.com.au