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Compliance and Oversight Manager

Perpetual Sydney, Australia
Posted 9 days ago Permanent Competitive
Compliance and Oversight Manager
As a Compliance and Oversight Manager within Perpetual Corporate Trust, your role is focused on delivering best in class advertising & marketing oversight, approvals, training and enhancement of policies and procedures relating to a suite of diverse funds and Investment Managers we partner with.

Sounds interesting? Here are some specifics about the opportunity:
  • Manage , monitor and approve advertising, marketing and other promotional material and product/investment strategy content (A&M) issued by Fund/Investment Managers we partner with to ensure they are compliant and meet legal & regulatory requirements including ASIC RG234, and Design and Distribution Obligations (DDO);
  • Manage relationships with Investment Managers and Service Providers including Registry Providers relating to A&M and DDO;
  • Oversight of, and enhance policies, procedures and frameworks relating to Advertising and Marketing & Design and Distribution Obligations (Distributor and Advertising/Marketing Oversight and Management Framework) and other compliance policies and procedures
  • Train staff, Investment Managers and Distributors on compliance re A&M, DDO, the Framework and other compliance matters relevant to the business.
  • Deliver DDO analysis and compliance reports to Management, Committees and Boards on the outcomes of DDO & A&M and other compliance matters.
  • Monitor & advise on Regulatory Change particularly DDO & A&M related matters.
  • Assisting with the development and support of compliance policies, procedures and enhancement of the wider compliance framework for PCT
  • Mentor the Compliance and Oversight Associate

To be considered for this opportunity, your qualifications, skills and experience could include:
  • Minimum 5 years' experience in Financial Services
  • Strong understanding of managed funds, and the legal, regulatory and compliance frameworks in place that govern managed investment schemes.
  • Excellent delivery focus and a strong customer service orientation
  • Strong Attention to Detail and analytical
  • Excellent communication and stakeholder management skills
  • Ability to manage and prioritise multiple tasks
  • Prior experience in Compliance, Governance, Product or Marketing & Advertising roles in Funds /Asset Management strongly regarded.

Our opportunity

We'd love to learn more about how your interests and experience could be a fit. Here at Perpetual, we are committed to supporting a flexible working environment enabling you to work how and where you work best.

Our benefits
  • Two weeks additional paid leave for Well-being & Community Leave
  • Market competitive Parental Leave
  • Access to our Well-being Benefits and Perpetual Discounts providing discounts and special offers on entertainment, clothing, homeware, gift cards, technology, travel, dining and more

Why join us?

You'll be joining a growing client-focused and collaborative global team with a values and purpose-driven culture. Each and every day our people bring to life our enterprise behaviours - Stretch, Own It, and Make an Impact. We value Diversity and Inclusion and know that the unique backgrounds, experiences, and perspectives of our people contribute immensely to the delivery of our purpose and strategy. We're living this commitment as a WGEA Employer of Choice for Gender Equality and have a growing number of employee-led networks to raise awareness and promote Diversity and Inclusion at Perpetual. We are extremely proud to work directly with over 23 Aboriginal language groups in various communities across Australia and we pay our respects to all Aboriginal and Torres Strait Islander People: and to their Elders past and present. Aboriginal and Torres Strait Islander People are strongly encouraged to apply.

Perpetual strongly encourages our employees to be vaccinated for the safety of our team and stakeholders. Some governments require employees to be up to date with their vaccinations against COVID-19 or have a current medical exemption to be able to attend a Perpetual office or attend a face to face meeting. Other roles may also require that full vaccination is maintained for the safety and well-being of our clients. We will ask you to share your status as part of the application process. You will be provided with the relevant information during the recruitment process if you are currently not up to date with your vaccinations or are medically exempt.
Job ID  R6340
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