[Hybrid] Senior Risk & Compliance Officer

TMF Corporate Services (Aust) Pty Limited; Melbourne; Hybrid; AUD 120,000 - 180,000; Full time

Job summary

TMF Corporate Services (Aust) Pty Limited in Melbourne seeks a Senior Risk & Compliance Officer to monitor regulatory changes and advise on compliance for fund and trustee services.

You will develop training for staff and investment managers, respond to regulator inquiries, and oversee incident/complaint resolution with a focus on robust governance and policy adherence.

Qualifications

• Relevant tertiary qualifications in a regulated financial services environment.
• AUSTRAC/AFSL/AML - CTF experience.
• Policy and Governance experience within a regulated entity interfacing with regulators.
• In-depth knowledge of Corporations Act and other applicable legislation.
• Strong working knowledge of the legal and regulatory framework.
• Experience of influencing through change and working in complex environments.
• Ability to organise and manage multiple tasks/projects simultaneously.
• Quality focus with high attention to detail.
• Exceptional stakeholder management, communication, and problem-solving skills.

Responsibilities

• Monitor the regulatory environment and assess the impact of regulatory changes on current and new clients.
• Provide advice to business unit in relation to regulatory compliance matters.
• Develop and deliver training on compliance matters to staff and investment managers.
• Respond to regulatory queries – ASIC / AUSTRAC / ATO / Federal Police / Other in relation to fund and trustee services matters.
• Oversee response to fund clients-related incidents and complaints, using technical judgment to assess, review, and help resolve issues with a focus on robust outcomes and regulatory expectations in collaboration with the corporate compliance officer.
• Maintenance of board, responsible managers & staff training plans and registers.
• Maintain policies and procedures related to fund clients and corporate authorisations.
• Manage and maintain complaints mailbox, registers, including breaches, complaints, incidents and reviews.
• Oversee response to client-related incidents and complaints, using technical judgement to assess, review, and help resolve issues.
• Maintain compliance plans for all retail funds.

Education

Australian financial services risk/compliance experience

Job description

[Hybrid] Senior Risk & Compliance Officer

TMF Corporate Services (Aust) Pty Limited - Melbourne VIC

Monitor the regulatory environment and assess the impact of regulatory changes on current and new clients

Provide advice to business unit in relation to regulatory compliance matters

Develop and deliver training on compliance matters to staff and investment managers

Respond to regulatory queries – ASIC / AUSTRAC / ATO / Federal Police / Other in relation to fund and trustee services matters

Oversee response to fund clients-related incidents and complaints, using technical judgment to assess, review, and help resolve issues with a focus on robust outcomes and regulatory expectations in collaboration with the corporate compliance officer

Maintenance of board, responsible managers & staff training plans and registers

Maintain policies and procedures related to fund clients and corporate authorisations

Manage and maintain complaints mailbox, registers, including breaches, complaints, incidents and reviews.

Oversee response to client-related incidents and complaints, using technical judgement to assess, review, and help resolve issues.

Maintain compliance plans for all retail funds

On establishment oversee the registration of compliance plans

Conduct regular compliance monitoring & reporting for all retail scheme compliance plans.

Manage external audit process of all compliance plan audits

Reviewing Target Market Determination documents as part of the Design and Distribution Obligation for TMF Group

Develop and deliver training to staff and investment managers on compliance obligations relating to retail funds

Corporate Authorised Representatives Oversight & Compliance

Review and sign-off on due diligence undertaken on authorised representatives to be appointed

Responsible for the ongoing monitoring of authorised representatives in accordance with our representative's management policy

Respond to regulatory queries and engage with compliance in relation to regulatory matters related to authorised representatives

Outsourced Service provider oversight and monitoring

Maintain register of all outsourced service providers

Conduct regular reviews of current and potential outsource arrangements to ensure adequacy and compliance with Outsource Policy and report to relevant Boards

Undertake due diligence on proposed third party organisations for the provision of outsourced services

Conduct regular monitoring of the sufficiency of services provided in accordance with the outsource policies and compliance schemes where relevant

Job Requirements:

Relevant tertiary qualifications, with a minimum of 5 years of experience within the Australian financial services risk, compliance environment

AUSTRAC/AFSL/AML - CTF experience

Policy and Governance experience within a regulated entity interfacing with regulators.

In-depth knowledge of Corporations Act and other applicable legislation.

Strong working knowledge of the legal and regulatory framework

Experience of influencing through change and working in complex environments

Ability to organise and manage multiple tasks/projects simultaneously

Quality focus with high attention to detail

Exceptional stakeholder management, communication, and problem-solving skills