We have an exciting opportunity for a talented individual to join the Legal and Compliance team. Reporting to the Head of Legal, your responsibilities will include: maintain compliance with AFSL and other regulatory requirements, fiduciary obligations, fund governing documents and capital mandates; governance requirements and internal policies and procedures.
Apply for the role of Compliance Manager here – Compliance Manager Job in Melbourne VIC – SEEK
Roles & Responsibilities
- Management and development of compliance systems by identifying and assessing compliance obligations, implementing controls, monitoring compliance and managing non-compliance.
- Develop, review and implement MaxCap’s Compliance Management Plan and associated policies and procedures.
- Assess potential conflicts of interests including in complex cross-holding situations.
- Ensure currency of ASIC records relating to the AFSL and ACL.
- Develop, review and implement AML / CTF policies and procedures.
- Assist where required with KYC checks for borrowers and investors.
- Review disclosure and marketing material, including information memoranda.
- Significant experience in the financial services and/or funds management sectors.
- Excellent understanding of AFSL regime and fiduciary obligations.
- Experience managing external advisors.
- Experience working in a fast paced, high expectation environment, while maintaining attention to detail.
- Good lateral thinker with a flexible and agile approach.
- Tertiary qualification in law, risk, compliance or relevant discipline.
Why Choose MaxCap:
- A competitive remuneration package.
- A range of employee benefits including personal wellbeing allowance, interstate travel, employee committee groups and paid parental leave.
- A collaborative environment that offers support encourages career development and learning.
- You will be a part of a dynamic business that enforces values, encourages inclusion and where ideas matter.