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Compliance and Regulatory Manager

Job Title: Compliance and Regulatory Manager
Contract Type: Temporary & Contract
Location: Sydney
Reference: 3334746
Contact Name: Niamh Patton
Contact Email:
Job Published: September 30, 2021 10:47

Job Description

  • Compliance and Regulatory experience within Financial Services essential
  • Visible and Varied role, Excellent Culture
  • Contract Role 
The Company

Large Sophisticated Investment Management business, looking for a Regulatory & Compliance Specialist to join their group team and support the organisation globally.

Reporting to the General Counsel you will be tasked with driving regulatory & compliance initiatives across a broad range of investment teams and business partnering with all divisions.  

The Role

This is a very broad role, encompassing Regulatory & Compliance Risk Management, the key responsibilities include: 
  • Drive compliance strategy across the group
  • Undertake assessment of compliance review program and implement enhancements to methodologies
  • Reviewing Australian regulatory developments relevant to the Group and its compliance and control framework ensuring obligations are met
  • Ensure key stakeholders are engaging the compliance division at all stages
  • Conduct compliance reviews across the group as required and prepare reports and monitor findings to assist business units with implementation of remedial action arising
  • Preparation of reporting to domestic and international regulators

About You

The successful candidate will have a tertiary qualification in Law, Finance, Accounting or Commerce and have several years experience in Regulatory risk management & Compliance in a complex Financial Institution. 

You will have in-depth knowledge of the current regulatory environment across financial services in Australia and a proven ability to interpret and implement compliance rules and regulations – and enjoy contributing to a team environment, liaising with various internal & external stakeholders.

For a confidential discussion please apply to Niamh Patton at Perigon Group via the link below.