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Home Forums Australian Financial Services Licensing (AFSL) Forum New Compliance Manager role available within publishing firm client

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    Position Summary:
    The Compliance Manager is responsible for the development, co-ordination and implementation of all compliance procedures within the organisation, including oversight of published content and overall company risk as required by the Australian Financial Services Licence.

    The role involves continued development of the company’s relationship with ASIC; head office legal team; external compliance lawyers, and internal company compliance committee.

    Main activities of this position
    • Reviewing, verifying and approving all financial promotions to ensure compliance with the AFSL and the local legal environment as a whole
    • Reviewing all editorial and ensuring appropriate files are kept by editors
    • Key contact for all communications with ASIC and lawyers
    • Regularly reviewing company risk and keeping Risk Register up-to-date
    • Researching and keeping up-to-date with relevant regulatory changes
    • Relaying all relevant regulatory information to appropriate individuals and senior management
    • Implementation and ongoing management of Responsible Manager team
    • Research and application to extend the AFSL where necessary
    • Investigating, resolving and responding to any customer complaints
    • Record keeping for internal files and for regulatory reporting purposes
    • Data protection responsibilities and compliance, including terms & conditions
    • Upkeep of the compliance manual and diary
    • Upkeep of compliance policies and procedures
    • Ensuring financial competence by ongoing professional development of the team

    The Compliance Manager must maintain the following registers and update immediately as circumstance require:
    • Company Procedures Manual
    • Risk register and policies
    • Conflicts of Interest register
    • Breach Register

    • Organise and lead quarterly Compliance meetings with the Compliance Committee
    • Minute and file the meeting notes
    • Attend weekly marketing and editorial meetings, with prepared updates on regulatory environment as they arise
    • Ensure files are kept up-to-date with all communications

    Competencies (Knowledge, skills and behaviours)
    • Sound knowledge of the regulatory environment, licensing conditions and financial markets (RG146 compliant)
    • Excellent written English and numeracy
    • Good communication skills, and ability to develop new contacts
    • High degree of organisation
    • Confidence and initiative
    • Pro-active approach
    • Meticulous attention to detail
    • Creativity in developing approaches to promotions and editorial
    • Advanced Excel skills
    • Ability to explain complicated procedures/processes to various audiences
    • Enthusiastic in creating customer benefits and giving advice/consultation on publications
    • Assertiveness and an enthusiasm for working independently
    • Responsible and result/target-orientated
    • Management and inter-personal skills
    • Advanced influencing skills

    Key Relationships
    Colleagues – daily interaction
    Customer Services and Sales Teams
    Management – compliance meetings

    RG146 competence. Plus ongoing professional development essential for this position – minimum 20 CPD points annually.

    To discuss the role further, please contact Tim Nethercote on (03) 9670 8200 or email

    #3627 Reply

    Michael Goldberg

    I found an interesting news. The Institute for Corporate Governance in the US under grandfathering scheme grant compliance professionals with a designation:

    Certified Compliance Officer (CCO™)

    For more info on the subject see

Viewing 2 posts - 1 through 2 (of 2 total)


Reply To: New Compliance Manager role available within publishing firm client

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