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Associate Director - Compliance

Fidelity International - Sydney, NSW

Any Industry
Source: uWorkin


The compliance team sits within a jointly managed legal and compliance team within the Australian funds management business. The primary responsibility of the compliance function is to support the regulatory compliance of the business by:

Maintaining a risk based framework to ensure appropriate oversight of regulatory compliance of each business unit (including maintaining an appropriate compliance training program and monitoring program) Assisting management to manage local regulatory risk including new regulatory requirements Working in partnership with local business to achieve business goals Ensuring that appropriate policy and procedures are in place to facilitate compliance by business units with relevant regulatory requirements Assisting with the development of relationships with key external stakeholders such as auditors, local regulators and industry associations Perform the role of local Money Laundering Officer and ensure that an appropriate anti-money laundering program is in place and is applied in the local business

Purpose of the Role

Provide compliance support to the Australian business – taking responsibility for business as usual compliance process as well as input from time to time on key business project initiatives. The role is within business compliance and includes oversight of investment compliance but not day to day monitoring of investment guidelines.

Key Responsibilities

  • Providing pragmatic advice to the business with respect to compliance matters in Australia.
  • Support the Legal and Compliance Team in identifying current regulatory gaps and compliance weaknesses
  • Support the Legal and Compliance Team in developing new compliance policies and procedures in accordance with regulatory developments.
  • Conduct compliance monitoring (ie testing to ensure compliance with Fidelity internal policies and regulations)
  • Assess implications of regulatory developments, including consultation papers on rule changes
  • Conducting training on compliance related matters
  • Review Australia related marketing materials
  • Coordinating the completion of regulatory filings
  • Ensure all RG 146 and 164 individuals meet their Continuing Professional Development requirements
  • Assist the Head of Legal and Compliance in overseeing Fidelity’s Code of Ethics program for Australia (including administration / provision of guidance / education/ treatment of exceptions) in consultation with other Fidelity offices
  • Exercise qualitative judgment in assessing compliance issues (as opposed to a strict “check-box” approach) in order to service the business effectively;
  • Adopt a solutions-driven approach to resolving compliance issues; and
  • Provide overall comfort to the Head of Legal and Compliance and senior management that appropriate compliance controls are in place to safeguard the integrity of the business.

Experience and Qualifications Required

  • Strong analytical skills
  • Good communicator with strong interpersonal skills
  • Tertiary Qualification (e.g., Accounting, Law) with a background in financial services (managed funds) compliance, 7-10 years experience
About you About Fidelity International

Fidelity International offers investment solutions and services and retirement expertise to more than 2.5 million customers globally. As a privately-held, purpose-driven company with a 50-year heritage, we think generationally and invest for the long term. Operating in more than 25 locations and with $611.4 billion in total assets, our clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.

Our Workplace & Personal Financial Health business provides individuals, advisers and employers with access to world-class investment choices, third-party solutions, administration services and pension guidance. Together with our Investment Solutions & Services business, we invest $471 billion on behalf of our clients. By combining our asset management expertise with our solutions for workplace and personal investing, we work together to build better financial futures.

Our clients come from all walks of life and so do we. We are proud of our inclusive culture and encourage applications from the widest mix of talent, whatever your age, gender, ethnicity, sexual orientation, gender identity, social background and more.

As a flexible employer, we trust our people to perform their role in the way that works best for them, our clients and our business. We are a disability-friendly company and would welcome a conversation with you if you feel you might benefit from any reasonable adjustments to perform to the best of your ability during the recruitment process and beyond. Data as at 30 September 2020. Read more at https://www.fidelityinternational.com/

Applying to this Job Role: Please note you are only required to upload your CV/Resume to the application screen.