Senior Compliance Officer

  • Sydney
  • Pimco
RESPONSIBILITIES This position requires a diplomatic and analytical professional who can: Be the main point of contact on all compliance related mattersEnsure continuing compliance with applicable regulatory requirements and market best practice, including anti-money laundering and sanctions compliance, marketing and distribution complianceEnsure incidents and breaches are appropriately assessment, remediated and reportedMaintain relationship with relevant regulators and external compliance committeeManage regulatory and licensing matters, including licence application, variation, cessations and related licensing reporting requirementsOversee the Portfolio Management team, Institutional Sales team, GWM team as well as Operations team to ensure compliance with applicable law, regulation and policiesBuild strong relationships with relevant stakeholders and provide active advice on all compliance related mattersSupport internal and external audit and regulatory reviewsSupport a range of projects (regulatory change or business initiatives) from a regulatory perspectiveDraft, review and maintain on an ongoing basis compliance manual, program and policies based on regulatory developmentsProvide guidance to the junior team members for the assigned responsibilities and projects if applicableDevelop and provide compliance trainingCoordinate and execute global compliance projectsSupport APAC (Hong Kong, Singapore and Tokyo) and global offices (US and London) in their initiativesREQUIREMENTS An undergraduate or degree in Law, Accounting, Business, Finance, Economics or other related field is required. Minimum of 8-10 years relevant experience in risk, regulatory and compliance roles, either in a major law firm, or consultancy/accounting firm or a large and diverse global investment bank or investment management firmStrong knowledge of Australian financial services regulatory environment and compliance considerationsA team player who can interact professionally, diplomatically and effectively with key internal and external stakeholdersPreferred Experience inImplementation and maintenance of compliance programsFixed income or equitiesResponsible entity obligationsInstitution and retail salesTrading and researchDESIRED COMPETENCIES Possess technical regulatory knowledge and skillsPossess strong analytical skills Possess strong communication skills Develop teamwork and optimize the use of resources to achieve team or organizational objectives. Lead by persuasion and exampleBe able to prioritize multiple tasks and demonstrate timely follow-upPlan, track, manage, and report the implementation of projects: including associated resources, using established project management tools, techniques and/or softwareBe effective in both formal and informal presentation settings: one-on-one, small and large groups, with peers, direct reports, and managers; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream if requiredAble to identify business risks: seeks relevant data, recognizes important information, and analyzes the impact and possible consequencesUnderstand the business and factors that impact the businessInternational and domestic compliance experience within the Institutional and Retail sector is desired