Director Compliance Private Wealth Management Morgan Stanley Sydney

Job Description
As a member of the Legal & Compliance team, the purpose of the role is ensure that the business maintains a high standard of regulatory compliance and to protect the reputation of the business by working closely with other members of the team to implement Compliance programs.



KEY ACCOUNTABILITIES

• Partner with a team of compliance professionals to provide advice to the business on compliance issues;
• Execution of monitoring and surveillance activities;
• Responding to regulatory enquiries and liaising with applicable regulatory agencies and industry bodies;
• Investigation of client complaints;
• Drafting and amending Compliance policies and procedures, and reviewing marketing material and client facing documentation;
• Training and educating the business at all levels;
• Engaging with stakeholders in the business to engender a culture of Compliance.

COMPLIANCE RESPONSIBILITIES

• Comply with the ethical standards contained within the Code of Conduct.
• Adhere to Company policies and procedures, regulatory and legislative requirements.

Qualifications

KEY COMPETENCIES / SKILLS

Technical/Specialist skills/competencies
• Basic knowledge of the regulatory environment including Corporations Act, exchange rules and the Australian regulatory framework
• An understanding of ASIC retail client requirements.

Business/Industry knowledge/competencies
• Basic understanding of the financial markets in particular stockbroking (including Exchange traded equities and options markets; International product offerings; financial planning) and retail financial products generally.

Personal Attributes/Interpersonal skills

• Demonstrates confidence
• Demonstrates ambition and energy towards the day to day responsibilities
• Excellent verbal and written communication skills
• Ability to work effectively both as a part of a team and autonomously
• Ability to work closely and co operatively with the business and other support departments
• Strong skills in data analysis and presentation of information
• Ability to execute multiple projects at the same time
• Ability to prioritise a busy workload

QUALIFICATIONS / EXPERIENCE REQUIRED

• Tertiary qualified or equivalent in a relevant business discipline.
• Minimum 5 years prior experience as part of a compliance team within the financial services industry.

Enter your email address:

Refer This Job To Your Friends And Help Them To Find Jobs!