AddressA 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.
- 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.
- Act as a subject matter expert on regulatory matters for business projects.
- 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.
For further information on this role or to confidentially apply, please contact Matt Quinn 02 8227 9*** or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.
