Compliance Manager

Job Description

What we’re looking for…

Compliance Manager

Join one of Australia’s fastest growing Non-Bank lenders that is in a substantial growth phase that will see the company lead the
way within the specialised SME lending market for many years to come.

Oak Capital is a growing business that celebrates and rewards our hard working team. In return for your energy and ideas we
offer a healthy bonus structure, work from home options, well-being and social initiatives to ensure we stay connected, as well as
our hugely popular staff training conferences twice a year.

As a result of recent growth, we are seeking to appoint a highly motivated and professional Compliance Manager to join our
team.

As Compliance Manager you will apply a proactive, analytical and strategic lens to identify new and emerging risks, evaluating
compliance and continual improvements needs in line with Oak Capital’s strategic agenda. The role will also lead audit,
investigations and incident management.

Your day will include, but not be limited to

• Maintain Compliance and Risk Frameworks that continue to meet legislative and regulatory standards
• Development and maintenance of Policies, Procedures, Programs and Registers to meet regulatory requirements and
  operational best practice
• Compliance review of advertising and marketing materials
• Monitoring and reinforcing compliance with Compliance Plan obligations
• Design, development and implementation of new ASIC Regulatory Guidance and new legislative requirements
• Investigation of Incidents / Breaches and drafting incident/breach reports
• Development and delivery of internal compliance training presentations
• Assist with the preparation of Compliance Board reporting
• Prepare minutes and agenda for the Quarterly Compliance Meeting and follow up any action items from the meetings
• Assist with various compliance projects that arise from time to time
• Provide input and feedback for continual improvement of compliance and risk management processes
• Liaising with Auditors and providing requested documentation during annual audit

You will need

To be effective in this role you will need to enjoy working on different projects, have a keen eye for detail, work well within a team
environment and have strong communication skills, written and verbal. You will be motivated and willing to get involved in all parts of the investor process.

You will also have the following attributes and knowledge:

• 5 years + experience in compliance, risk or audit role within Financial services
• Developed, implemented and continuously improved compliance framework
• Developed and enhanced compliance reviews, testing programs or audit programs
• Experience managing projects
• Dealt with industry regulators
• Drafted reports for boards, committees and regulatory authorities
• Positive and can-do attitude to take on any new duties which may include learning new and challenging tasks and where no task
  is too big or too small

Company Profile

Oak Capital is a Specialist Non-Bank Lender and Mortgage Manager. We exist to support SME’s by providing fast and reliable
alternative funding as well as assist with complex commercial lending solutions made simple, via third party broker relationships
across Australia.

We are solutions focused, and we ensure that we educate our vast broker network throughout each stage of a transaction to
ensure we are not only providing a market leading niche service offering, but also lifting the bar around product diversification
training and education, which is particularly important for brokers that are less experienced and do not qualify for commercial
accreditation with banks and mainstream lenders.

As a group, we have circa $700M of Assets Under Management (AUM) and originate over $1.5B in transactions per annum.

In particular, Oak specialises in offering both residential and commercial products and niche policies relating to;

• Low Doc transactions
• Alt Doc transactions
• Private Lending
• Mortgage arrears
• Residual Stock
• Unfinished Development Projects
• Bridging finance
• Bankruptcies
• Liquidation
• Unpaid credit impairment etc.
• Tax debts
• Specialised security including Vacant Land
• Unlimited cash out

Reporting Line

Head of Business and Risk