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Head of Compliance, Australia

  • Leading Financial Services Group
  • Key Leadership Position
  • Excellent Corporate Culture

Recognised as a leading financial services group, our client is a well-known brand with a strong history of success across the Asia Pacific region. Reporting to the Regional Head of Compliance, an outstanding position has arisen for an experienced Compliance professional to lead the Australian compliance team.

The key responsibilities for this position are as follows:

  • Lead and manage the compliance team and other projects and business initiatives.
  • Advise the business on key compliance and regulatory risks affecting their business units.
  • Proactively track all regulatory changes and new regulations and advise the business on the impact of these changes.
  • Liaise with regulators in Australia.
  • Manage the timely and accurate response to regulatory enquiries including liaising with the business and other functions to obtain the required information.
  • Deliver all aspects of the Compliance strategy in a timely manner.
  • Escalate regulatory and reputational issues and risks to the Regional Head of Compliance, APAC.
  • Oversee the procedures and controls within the Compliance team, including driving a process of continuous improvement of existing frameworks as well as introduction of new procedures and controls.
  • Promote compliance awareness across the business.
  • Liaise with regional and global compliance teams.
  • Prepare and deliver compliance training for the business.
  • Contribute to compliance projects and initiatives.

Successful applicants will have the following skills and experience:

  • Degree qualified with extensive Compliance experience gained in a global institution.
  • Strong experience in Equities is essential for this position.
  • Strong knowledge of regulatory rules and regulations in Australia.
  • Proactive attitude with the ability to work under pressure.
  • Excellent interpersonal, written and oral communication skills with the ability to communicate and influence across all levels of management.
  • Able to demonstrate strong leadership experience.

Information provided is for recruitment purposes only.

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