Ensures that a strategic compliance plan for BU is developed. Establishes & embeds compliance in BU. Ensures compliance by the business unit with applicable legislation through the development and implementation of compliance risk management and monitoring plans. Reports on compliance breaches to BU management and Segment Compliance Officer. Facilitates resolution on compliance breaches. Assists in mitigation of compliance risk. Reports to Segment Compliance Officer alternatively, BU Head. Influences across the whole of the complex business unit from a compliance perspective. Interacts with senior management and board members of companies within the OMSA Group, on a strategic level on compliance and legislative developments that may influence the company direction. Operates as registered compliance officer for one or more FSP companies within the OMSA Group. Utilises a wide scope of applicable legislation, including all primary legislation. Participates at industry level via industry committees to influence new legislative developments. Interacts with the Regulator to shape new legislation. Does presentations at industry conferences on compliance and legislative matters. Manages staff (eg. Compliance Officers and Assistant Compliance Officers) if applicable.
Experience
C.Prac or C.Prof.5 yrs appropriate compliance related experience in the financial services industry.
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