• Competitive
  • Sydney, New South Wales, Australia
  • Permanent, Full time
  • Macquarie Group
  • 15 Feb 19

Compliance Manager - Licenses and Policies

Compliance Manager - Licenses and Policies

If you are looking for your next step in Compliance, then we have an excellent opportunity within our Licenses and Policies Compliance team within our Risk Management Group. This role would see you responsible for assisting in the management of regulatory compliance for ANZ entities as well as group-wide policy functions and providing day-to-day support on policy and licensing for ANZ.

The role would see you sitting within the second line Compliance function to support business aligned Compliance and Macquarie business groups, including providing an effective advisory function and improving tools available.

You will assist in managing the licensing requirements for ANZ (both AFSL and ACL). This includes filings such as:
  • responsible manager appointments and removals
  • licence maintenance, including variations and applications
  • annual compliance certificates for ACL

You'll be responsible for delivering the Macquarie ASIC Industry Funding annual data submission to ASIC for all ANZ licenses. A key function of this work will be engagement with senior Compliance and business stakeholders (group COOs). You will also assist in the delivery of the Macquarie annual AFSL audit, including coordination of requests from the auditors and preparation of final briefing packs towards the annual submission deadline.

You will also provide policy oversight of Compliance owned policies, including policy reviews and execution is a key part of the role for the following policies:
  • Outside Business Activity
  • Gifts and Entertainment
  • Soft Dollar
  • Breach, Incident and Escalation

This role will also give you the opportunity to manage key upcoming projects for Central Compliance (Licensing and Policies) - relating to entity obligation management and licensing reviews. The role requires day-to-day contact with both Compliance and business staff.

You'll bring with you a good knowledge and understanding of licensing requirements in ANZ, ideally gained from a Compliance role within a similar financial institution. You will also have and be able to display excellent stakeholder management skills and communication skills both verbal and writing.

If this sounds like the opportunity for you to further your career then please apply via the link below.

Find out more about Macquarie at www.macquarie.com/careers.

Risk Management Group is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Credit, Prudential, Capital and Markets, Market Risk, Operational Risk, Compliance, Quantitative Applications and Internal Audit.

Macquarie understands the importance of diversity and inclusion - our long history of success has come from being different. At Macquarie we value the innovation and creativity that diversity of thought brings. The one thing we all have in common is our focus on high performance. If you're capable, motivated and can deliver, we want you on our team.

We facilitate a range of flexible working arrangements within our teams. Talk to us about what flexibility may be available.

Advertised: 05 Dec 2018 AUS Eastern Daylight Time
Applications close: