Job Details

$130000 per annum
Job Type
Matt Quinn
Contact email
Email Matt
7 months ago
The Company
Our client is a leading independent fund manager, providing investment products to domestic and international clients with $22.5 billion under management. With offices in Melbourne and Sydney and a strong heritage in the local market, we are a team of 80 collaborative professionals focussed on delivering the best investment outcomes for our clients.
About the Role
The Risk and Compliance Specialist will be part of a diverse team of 8, reporting to the General Counsel and will be for a 12-month contract period. This role will work collaboratively with all departments across the Group to ensure regulatory and client obligations and expectations are met and to promote risk and compliance awareness. The role will also contribute to key projects and assist the team with implementation and execution of important risk and governance initiatives as the business evolves through a period of exciting growth and transition. This is a unique opportunity for someone who is looking to broaden their risk and compliance experience.  The role can be based in either Melbourne or Sydney.
Key Responsibilities
  • Assist the team in the ongoing maintenance, daily monitoring, and review of investment compliance
  • Substantial shareholder monitoring and reporting
  • Conducting compliance and risk monitoring activities across the entire range of internal compliance policies, regulatory and client contract/reporting obligations.
  • Review of marketing and due diligence materials and associated collateral
  • Disseminate, review and follow up various risk and compliance sign offs
  • Support the delivery of legal, risk and compliance training and awareness initiatives
  • Support the LRC team in regulatory examinations, operational due diligence and corporate audits as and when required
  • Advise the business on risk and compliance requirements
  • Support and advise the business with respect to risk and compliance requirements and related matters, including identifying and managing risks and issues
  • Contributing to the monitoring of a changing regulatory landscape and assisting the LRC team in the design, drafting and implementation of policies, procedures and operating guidelines as and when required
  • Assist with the review, maintenance and implementation of risk and compliance documents including frameworks, scheme compliance plans, risk registers and GS 007
  • Assist with the preparation of Board/Committee/Working Group papers as relevant to role
  • Perform other duties and participate in projects as assigned from time to time
Knowledge, Skills, and Experience
  • 3-5 years experience within financial services risk and compliance with experience in the asset management industry and/or investment compliance preferred
  • Working knowledge of AML/CTF, FATCA, CRS and/or ETPs high desirable
  • Tertiary qualifications in Compliance, Law, Commerce or Economics or related field preferred
  • Strong analytical, research and judgment skills, high integrity, ability to communicate with impact and attention to detail
  • Demonstrated ability to develop strong relationships with and earn the respect and trust of key stakeholders
  • A versatile, flexible and adaptive personality, not threatened by change or new projects
For further information on this role or to apply in confidence, please contact Matthew Quinn on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.