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Head of Compliance - Australia

Fisher Investments Australia Sydney, 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.

The Opportunity:

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.

The Day-to-Day:

  • 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

Your Qualifications:

  • 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.

Benefits:

  • 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:

As part of recruiting and hiring employees, Fisher Investments Australasia Pty Ltd (ACN 159 670 667) collects personal information. This collection is authorized by and, in some cases, required by Australian law. We obtain personal information directly from individuals and from third parties, such as professional recruiters. An individual's personal information will be used and disclosed in accordance with this statement and our Privacy & Cookie Policy, available at https://www.fisherinvestments.com/en-au/privacy. Sensitive information, such as health or criminal information will only be collected with consent. In some cases, refusal to authorize the collection of sensitive information, such as through a background check, may impede the recruitment and hiring process, including potentially preventing employment. We disclose personal information to other parties in accordance with our Privacy & Cookie Policy. Some of these third parties are service providers located outside of Australia, including our parent company in the United States. Our Privacy & Cookie Policy contains information about how individuals may access and seek correction of their personal information, how individuals may complain about a breach of privacy, and how we will deal with that complaint.

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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