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Legal Compliance Officer

TMF GroupMelbourne, VIC, Australia

3 days ago

Job description

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We never ask for payment as part of our selection process, and we always contact candidates via our corporate accounts and platforms. If you are approached for payment, this is likely to be fraudulent. Please check to see whether the role you are interested in is posted here, on our website.

Key Responsibilities

Establishment and management of funds and fund counterparties.
Working on offer and other fund documents.
Attending to contracts review and registration of deeds.
To conduct credit, bankruptcy and reputation checks.
Drafting and / or coordinating regular fund updates, reports.
Reporting to investors, clients, Compliance Committee and the Board.
To monitor and support internal risk management systems and the management of external service providers.
Compliance with Australian Financial Services Licence and Australian Credit Licence requirements.
Management of corporate authorised representative compliance.
AML / CTF, FATCA, Sanctions and other regulatory compliance.
Working collaboratively with Group Compliance on compliance related registers, complaints management, regulatory lodgments, policy maintenance / updates and as further required.
Keep abreast of regulatory changes, industry trends and anticipating areas of focus and attention of regulators and embed those within day-to-day operational activities.
Active participant in setting up staff know-how sessions.
Liaising with panel lawyers and external service providers
Liaising with auditors and attending to the status of audits, findings and recommendations.
To seek improvements in efficiencies in processes and workflow and to assist with marketing activities, as required.

Key Requirements

1-2 years of prior experience in Law within the financial services, funds management, corporate or finance sector.

Experience in business, accounting, commerce or compliance and risk management is desirable. Financial Services Institute diploma and Industry affiliations would be advantageous.

Excellent legal review and drafting skills.

Understanding of the funds management industry, services, clients and competitors.

Strong business management skills including pro-active client management.

Strong compliance and risk management ethic with attention to detail in implementing high quality processes to ensure compliance obligations are met and exposure to risk minimized.

Personal Traits : Business professional, with outstanding reputation and a high level of integrity, excellent attention to detail, proactive and continuous learning mindset, collaboration and teamwork, adaptability and resilience and strong written and verbal communication skills.

Proficient in office-based software applications as well as organisation specific applications such as Microsoft Office (Word, Excel, PowerPoint, Outlook, etc.), MYOB, Titanium Registry Software, etc.

Seniority level

Associate

Employment type

Full-time

Job function

Legal

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Compliance Officer • Melbourne, VIC, Australia

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