Senior Risk & Compliance Officer

General regulatory matters

• Monitor the regulatory environment and assess the impact of regulatory changes on

current and new clients.

• Provide advice to business unit in relation to regulatory compliance matters.

• Develop and deliver training on compliance matters to staff and investment managers.

• Respond to regulatory queries – ASIC / AUSTRAC / ATO / Federal Police / Other in relation to fund and trustee services matters.

• Oversee response to fund clients-related incidents and complaints, using technical

judgment to assess, review, and help resolve issues with a focus on robust outcomes and regulatory expectations in collaboration with the corporate compliance officer.

• Maintenance of board, responsible managers & staff training plans and registers.

• Maintain policies and procedures related to fund clients and corporate authorisations

• Manage and maintain complaints mailbox, registers, including breaches, complaints,

incidents and reviews.

• Oversee response to client-related incidents and complaints, using technical judgement to assess, review, and help resolve issues.

Retail Fund Compliance

• Maintain compliance plans for all retail funds.

• On establishment oversee the registration of compliance plans.

• Conduct regular compliance monitoring & reporting for all retail scheme compliance

plans.

• Manage external audit process of all compliance plan audits.

• Reviewing Target Market Determination documents as part of the Design and Distribution Obligation for TMF Group.

• Develop and deliver training to staff and investment managers on compliance obligations relating to retail funds.

Corporate Authorised Representatives Oversight & Compliance

• Review and sign-off on due diligence undertaken on authorised representatives to be

appointed.

• Responsible for the ongoing monitoring of authorised representatives in accordance with our representative’s management policy.

• Respond to regulatory queries and engage with compliance in relation to regulatory

matters related to authorised representatives.

Outsourced Service provider oversight and monitoring

• Maintain register of all outsourced service providers.

• Conduct regular reviews of current and potential outsource arrangements to ensure

adequacy and compliance with Outsource Policy and report to relevant Boards.

• Undertake due diligence on proposed third party organisations for the provision of

outsourced services.

• Conduct regular monitoring of the sufficiency of services provided in accordance with the outsource policies and compliance schemes where relevant.