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The compliance team sits within a jointly managed legal and compliance team within the Australian funds management business. The primary responsibility of the compliance function is to support the regulatory compliance of the business by:
Maintaining a risk based framework to ensure appropriate oversight of regulatory compliance of each business unit (including maintaining an appropriate compliance training program and monitoring program) Assisting management to manage local regulatory risk including new regulatory requirements Working in partnership with local business to achieve business goals Ensuring that appropriate policy and procedures are in place to facilitate compliance by business units with relevant regulatory requirements Assisting with the development of relationships with key external stakeholders such as auditors, local regulators and industry associations Perform the role of local Money Laundering Officer and ensure that an appropriate anti-money laundering program is in place and is applied in the local business
Purpose of the Role
Provide compliance support to the Australian business - taking responsibility for business as usual compliance process as well as input from time to time on key business project initiatives. The role is within business compliance and includes oversight of investment compliance but not day to day monitoring of investment guidelines.
Providing pragmatic advice to the business with respect to compliance matters in Australia.
Support the Legal and Compliance Team in identifying current regulatory gaps and compliance weaknesses
Support the Legal and Compliance Team in developing new compliance policies and procedures in accordance with regulatory developments.
Conduct compliance monitoring (ie testing to ensure compliance with Fidelity internal policies and regulations)
Assess implications of regulatory developments, including consultation papers on rule changes
Conducting training on compliance related matters
Review Australia related marketing materials
Coordinating the completion of regulatory filings
Ensure all RG 146 and 164 individuals meet their Continuing Professional Development requirements
Assist the Head of Legal and Compliance in overseeing Fidelity's Code of Ethics program for Australia (including administration / provision of guidance / education/ treatment of exceptions) in consultation with other Fidelity offices
Exercise qualitative judgment in assessing compliance issues (as opposed to a strict "check-box" approach) in order to service the business effectively;
Adopt a solutions-driven approach to resolving compliance issues; and
Provide overall comfort to the Head of Legal and Compliance and senior management that appropriate compliance controls are in place to safeguard the integrity of the business.
Experience and Qualifications Required
Strong analytical skills
Good communicator with strong interpersonal skills
Tertiary Qualification (e.g., Accounting, Law) with a background in financial services (managed funds) compliance, 7-10 years experience