About the Role
As a senior specialist Compliance leader you will work collaboratively supporting Compliance team members and MLC Wealth stakeholders, providing technical advice and guidance on compliance matters related to obligations management, compliance policies, event identification & management, change management and operating practices. Key accountabilities will include;
- Upholding community standards for the Organisation and lead a client and member oriented engagement model.
- Assisting the Head of Compliance MLC Wealth in the active sponsorship of the compliance management system across all areas of the MLC Wealth business.
- Identifying issues and initiating compliance programs and compliance reviews to ensure weaknesses and gaps are addressed promptly and efficiently.
- Coordinating reporting on the effectiveness of the operation of the compliance management system, providing insights, themes and trends.
- Provide guidance to the team to manage MLC Wealth stakeholders to provide technical advice and guidance on compliance matters.
- Co-ordinate team assistance to Projects and Business Units in the interpretation of new legislation and drafting obligations, maintaining the Governance, Risk and Compliance data base and ensuring the Organisation conforms to legislative and policy requirements.
- Provide guidance for the due diligence processes for the management of regulated disclosure and review business collateral for conformity with the law and good practice guidance.
- Support the design and implementation of training across the business on Compliance themes and report against completion.
- Provide expertise and specialist knowledge of the law in relation to the Wealth management business environment with specific focus on Superannuation, Investments and Advice as well as Privacy and notifiable data breaches, Conflicts Management, Anti Money Laundering and Counter Terrorism Financing, Code of Conduct, Whistleblowing provisions and Complaints Management and draft and maintain policies and processes in connection with these key areas.
Your skills and experiences will include;
- Designing and rolling out training, roadshows and compliance related awareness sessions across the business
- Researching and drafting policies and processes
- Managing compliance assurance and compliance frameworks and systems
- Regulatory compliance and change management
- Conducting reviews and audits in a Wealth Management environment
- Specialist knowledge of the Wealth management business environment with specific focus on Superannuation, Investments and Advice as well as Privacy, Complaints Management, Conflicts Management and AML/CTF frameworks
- Experience in researching and analysing legislation and drafting and reviewing regulated disclosure
- Breach and event identification, analysis, reporting and remediation.
- Regulator liaison and response management, including preparation of relief applications.
At MLC Wealth, we believe success comes from our people. We're committed to supporting our people as you help us build a business and culture that affects positive change for our clients and community.
From education and volunteer leave to learning benefits and banking discounts, we offer access to a wide range of employee benefits. For more information please visit here.
To be eligible to apply, you must have Australian or New Zealand citizenship or permanent residency status. Please note candidate screening and interviews may be conducted prior to the closing date of the job advert.
How to Apply
If you're ready for the next step, click apply and submit your application via our careers site!