Compliance Officer

  • Location

    Sydney, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    Negotiable

  • Contact:

    Sophia Wynter

  • Contact email:

    sophiawynter@taylorroot.com.au

  • Job ref:

    S060220W_1581986725

  • Published:

    about 1 month ago

  • Expiry date:

    2020-03-19

  • Startdate:

    ASAP

The Company:

  • Active Fund Manager, traditional and alternative high conviction strategies.
  • Global and Australian only investments.
  • Small office in Sydney (CBD).

The Role:

  • Develop the framework to ensure compliance with legal and regulatory obligations;
  • Regulatory horizon-scanning and updating policies accordingly (ie. AFSL requirements, ASX requirements);
  • AML / CTF KYC and related due diligence and product rationale;
  • PA Account Dealing;
  • Employee Training;
  • Co-Secretarial and Corporate Commercial support.

The Candidate:

  • Proactive, hands-on, strong common sense;
  • Flexible communication skills;
  • Operational Risk or Legal or Compliance backgound;
  • Must have Financial Services experience;
  • Full Australian working rights.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

For a full review of our active roles, please visit our website at www.taylorroot.com.au

Taylor Root is part of the The Specialist Recruitment Group PTY LTD, which is acting as an Employment Agency in relation to this vacancy.

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