Head of Compliance - Australia
Do you have a passion for securities-based compliance? Your experience and passion working within a world of always changing regulations will help provide guidance and direction to the business. You can be a part of Fisher Investments Australasia (FIA) within our globally diverse and growing privately held investment firm.
As the Chief Compliance Officer for FIA, you will manage the development and maintenance of our compliance and AML/CTF processes to ensure an effective compliance programme. You will be a trusted advisor to the business by providing guidance and oversight of our regulated activities.
- Provide advice and guidance to the business on relevant regulatory issues
- Develop, initiate, maintain and revise policies and procedures
- Ensure an effective annual compliance monitoring plan
- Provide regular reports to keep the Board and senior management informed of the operation and progress of compliance efforts
- Be the firm liaison with ASIC, AUSTRAC and other regulatory agencies as necessary
- Responsibility for the complaints handling process and the annual compliance training programme
- Oversight of AML process and procedures, including approval of complex and/or Enhanced Due Diligence cases
- Work with members of the global legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation
- Respond to alleged violations of rules, regulations, policies or procedures by evaluating or recommending the initiation of investigative procedures
- 7+ years of related work experience in financial services compliance
- Undergraduate degree or equivalent training and work experience
- Familiarity with ASIC and AUSTRAC regulations, investment management, and self-managed superannuation fund requirements
- Demonstrated leadership and people management skills
- Knowledge of New Zealand and Singapore AML/CTF requirements helpful, but not required
Why Fisher Investments Australia:
At Fisher Investments, we work for a bigger purpose: bettering the investment universe by ALWAYS putting clients' interests first. We provide clients something different through unmatched service, continuous education and unique perspectives on investing.
The next stage of our growth will be driven by the expansion of our Private Client Group into Australia. You will be at the frontier of this expansion. You will join our Global workforce and an inclusive culture where diverse perspectives are valued. You will be trained, developed, offered exceptional benefits and given an opportunity to build a lifelong career. If this sounds appealing, apply now to join us in our mission to Better the Investment Universe.
- Comprehensive healthcare plan, Complete Gold Hospital plus Business 80 plan through GU Health (Fisher pays the Base Tier subsidy based on your family status and location)
- Superannuation, default fund CareSuper
- 20 days of annual leave, plus bank holidays
- Mental health and wellness tools including AXA Employee Assistance Programme and Ginger coaching services
- Reimbursement for annual flu vaccination
Personal Information Collection Statement:
FISHER INVESTMENTS AUSTRALIA IS AN EQUAL OPPORTUNITY EMPLOYER
Fisher Investments Australia® is a trademark of Fisher Investments Australasia Pty Ltd (ABN 86 159 670 667, AFSL 433312), which provides services to wholesale clients only and outsources portfolio management to its parent company, Fisher Investments. Investing in equities and other financial products involves the risk of loss.
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