Description:
The Compliance Consultant will work within a regional Asset Management Compliance team operating in a successful international Asset Management business, reporting to Head of Asset Management Compliance - Australia.
The role offers excellent exposure to someone looking to develop their career in an asset management based compliance role. The position will provide technical research and consultation to support compliance programs and activities within the newly established asset management legal entity in Australia, as well as other Northern’s international units within APAC and globally. Partnering with compliance team members and managers and staff in Australia and throughout the APAC region, the incumbent will provide consultation and advice on regulatory matters, product governance and conduct monitoring, as well as participate in the overall management of compliance systems.
What You Will Do:
- Providing technical research and consultation to support compliance programs and initiatives
- Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
- Support regulatory inquiries and examinations
- Assist in the development and maintenance of compliance frameworks and related policies and procedures
- Review of marketing materials to support cross-border sales activity to support sales and relationship management team
- Develop and implement training programs with subject matter experts, and Corporate Compliance.
- Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department’s activities.
- Provide support to the wider compliance team as and when required
- Attendance and reporting to various committees
About You:
- Proven experience in advising and/or monitoring of asset management business
- Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
- Working knowledge of ASIC regulations, while also benefiting from international exposure e.g. other APAC regulators
- Prior experience in the interpretation and analysis of complex investment management agreements and industry standards
- Analytical ability to identify and understand problems and provide effective solutions
- Highly motivated individual who has a proven record of using initiative to resolve problems
- Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
- Excellent verbal and written communication skills
- Desire to stay in front of new business/regulatory developments
- Excellent organizational and analytical skills.