Job Type
Mark Montgomery
about 1 month ago
My client is a fast growth global fintech who are looking to add hire a Head of Compliance to lead the Complaiance, AML and Trade Surveillance functions in Australia and New Zealand. The Australian office (and APAC hub) has grown 200% in the last 12 months despite a worldwide recession. 

They are looking to hire someone who combines deep compliance knowledge related to financial markets (Managed Investment Schemes ideal), proven people leadership experience in mentoring and coaching teams and finally experience liasing with ASIC.

This role will suit a professional who is truly commercially minded in their approach to compliance , who enjoys autonomy in the role and wants to have the freedom to own the compliance funciton and how to run their team (currently circa 7 heads) across the ANZ region.

Role responsibilities
  • Lead and manage the Risk and Compliance framework under the company’s AFSL.
  • Monitor and oversee regulatory development, particularly related to MIS and relevant to the activities in Australia;
  • Inform relevant decision makers of relevant legal/regulatory updates;
  • Communication with / reporting to ASIC;
  • Compliance monitoring: quarterly review of all company operations in line with the regulatory guidelines AND audit findings;
  • Oversee and approve any verification-related training, particularly related to MIS;
  • Create reports for senior management and external stakeholders;
  • Ensure the company has appropriate structure / governance to which ASIC is notified;
  • Cooperate with the Product and Ops team to ensure the compliance function has the necessary reports required for ongoing monitoring;
  • Report directly to the Board.
  • Perform annual risk assessment.
  • Update local policies and procedures to reflect current regulatory requirements.
  • Oversee and approve any marketing materials
  • Supervise the AML Compliance Function, especially for client onboarding and verification.
  • Maintain the company’s legal documents (PDS, T&C’s) in conjunction with the Legal Department.
  • Ensure the Product and Ops team provide the necessary reports required for ongoing compliance monitoring.
  • Ensure all compliance and governance matters are escalated to senior management and to the Compliance Committee.
  • Implement Committee and Board decisions as required.
For further information on this role or to confidentially apply, please contact Mark Montgomery on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.