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Compliance Manager

Job Title: Compliance Manager
Contract Type: Permanent
Location: Sydney
Industry:
Reference: 540136
Job Published: August 19, 2020 11:03

Job Description

With a rapidly developing risk and compliance team, this wealth management business is looking for your skills in joining a journey to excellence.  This role forms a critical component of the company's second line of defence. 

Reporting into a transparent, vibrant, positive and skilled Risk and Compliance Director you will enjoy being part of the solution in a changing environment. There will be challenges aplenty as you navigate this new direction but the opportunities for learning and development are unmatched in this market.

The role is part of the team responsible for overseeing the compliance obligations including supporting and guiding the company in the identification, reporting, assessment and management of compliance risks and the timely, effective and transparent management of complaints across the Life Insurance and Wealth Management businesses.
 
Basic responsibilities include:
  • Conducting compliance risk assessment training workshops;
  • Conducting internal reviews and audits;
  • Conducting environmental audits to ensure the company meets environmental requirements;
  • Ensuring that in-depth independent reviews of all complaints are actioned, resolved and finalised in an efficient and transparent manner and to legislative standards;
  • Negotiating suitable resolutions of complaints with customers;
  • Drafting and managing submissions to the Australian Financial Complaints Authority (AFCA);
  • Proactively reviewing and updating the end-to-end complaints handling processes and controls to ensure complaints are being managed in a compliant, timely and effective manner
On top of a strong compliance background you will be able to demonstrate the following
  • Life insurance (or life insurance inside superannuation) experience is essential
  • Relevant degree qualified, law preferred, but not essential
  • Dispute resolution experience and/ or litigation experience would be viewed favourably
  • Demonstrated ability to deal with complex matters and present facts & reasons behind decisions in a logical manner

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