You will ensure that our Corporate Authorised Representatives (CARs) and Authorised Representatives (ARs) operate within regulatory guidelines while upholding the highest standards of compliance, governance, and risk management.
Your expertise will be instrumental in aligning our business operations with ASIC regulations, fostering a culture of integrity, and enabling sustainable growth for our clients and partners. As a Responsible Manager at KOSEC Group, you will oversee and maintain the compliance framework.
Your expertise will ensure that we uphold the highest standards of regulatory adherence, enabling clients to achieve sustainable growth while ensuring our operations remain compliant with industry regulations.
Key Responsibilities:
- Oversee the operational integrity of financial services provided under the AFSL, ensuring that all financial products and advisory services comply with legal and regulatory requirements.
- Develop and implement compliance policies, risk management frameworks, and governance procedures in alignment with Australian financial regulations.
- Provide strategic leadership and training to ensure company-wide understanding and adherence to compliance obligations.
- Maintain direct communication with ASIC and other regulatory authorities, addressing inquiries, audits, and reporting requirements.
- Monitor and assess regulatory changes, advising executive leadership on the implications and necessary adjustments to business strategies.
What We’re Looking For:
- Extensive experience in financial services and AFSL compliance with a strong understanding of industry regulations.
- Proven ability to develop and implement effective compliance strategies in a highly regulated financial environment.
- Strong leadership and decision-making skills to guide teams and uphold compliance standards.
- Experience in working with regulatory authorities, audits, and reporting frameworks.