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ABOUT MAINSTREAM Mainstream Group Holdings Limited (ASX: MAI) provides fund services underpinned by investment in people, processes and technology. We provide administration services to over 1,000 funds, more than 100,000 investors and assets in excess of AUD $196 billion. Globally we employ more than 270 people, with operations in Australia, Singapore, Hong Kong, United States, Cayman Islands, Ireland, Isle of Man and Malta.
ABOUT THE ROLE *Flexible working hours. The Manager, Compliance will provide services to our Hong Kong and Singapore Fund Services experience by managing and implementing an effective compliance, internal audit and controls framework to ensure compliance with regulatory and legislative requirements. Reporting to the Managing Director you will be expected to provide leadership in the Compliance space across the business.
The role will be responsible for:
Manage the due diligence process and service provider reviews
Manage and coordinate GS007 (SOC) and internal audits for Mainstream Singapore and Hong Kong and manage the auditor relationship
Manage compliance statements for clients on a monthly and quarterly basis
Manage the complaints register for Fund Services and liaise with the Head of Risk.
Develop and review existing Mainstream policies and procedures and embed within Mainstream.
Review legislative changes that affect Mainstream operations and develop compliance solutions that satisfy these changes
Provide detailed compliance reporting and analysis on regulator changes, incidents, breaches and other relevant compliance matters
Manage control testing and develop internal audit frameworks
Provide technical compliance support, breach and incident reporting and control testing
Develop training material for teams to conduct training to improve the quality of service to our clients
Define, educate and support regulatory change including AML, Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS)
Support global offices that manage and administer Australian Funds
Manage and coordinate the Business Continuity Plan (BCP) in partnership with the Head of IT to support the fund services business.
Work with the Group Head of Risk to ensure transparency of compliance and risk matters within the business
Provide regular reporting to compliance and boards and liaise with the Risk and Governance representative
About You You will bring your funds management experience coupled with a minimum of 3 years compliance experience to the role. Additionally your profile will include:
Tertiary qualifications in finance, business, law or related field
Compliance experience directly within the funds management industry
Demonstrated experience in providing leadership within corporate compliance
Experience in creating processes, procedures and training programs, ideally with a training background
Experienced with Cayman, Singapore, Hong Kong and Australian domiciled funds
Ability to think and plan strategically as well as acting operationally
This is a fantastic opportunity to lead the Compliance function across multiple locations and make a significant impact on the business.
5 Reasons to work at Mainstream
Growing company with lots of opportunity for career progression and further promotion.
Work directly with pre-eminent fund managers and industry leaders.
Well regarded fund administration experts, from end to end.
Central location with regular social events.
Invaluable on-the-job learning and study support.
Our Values Our Clients Come First Get it Right, First Time Prioritise People Be Solution Focused Work as One Team