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Compliance, Risk And Governance Manager | Funds Management

Careerone Partner Network - Sydney, NSW

Banking & Finance
Source: uWorkin


Compliance, Risk & Governance Manager | Funds Management

* Sydney CBD
* Permanent

This Global Fund Manager has built an outstanding reputation in the market from decades of high performance and industry leading investments.

Working directly with the Head of Corporate Governance and a small, established team of legal/compliance professionals, you would act as 2ic, responsible for managing operational requirements of the compliance, risk and governance function for Australia.

You will work collaboratively with colleagues across all areas including Investment, Distribution, Marketing, Operations, Legal, Finance and HR on regulatory requirements, monitoring compliance and managing any regulatory and reputational risks.

Duties and Responsibilities include:

* Oversight and review of compliance with substantial shareholdings monitoring and reporting
* AML client due diligence SME for Australia
* Client compliance reviews and RFP responses
* Ensure compliance framework has been adhered to as part of the compliance monitoring programme
* Prepare monthly compliance reports for clients
* Respond and investigate alerts (e.g. market abuse monitoring, personal securities dealing)
* RG 146 training and roll out compliance training and monitoring
* Participate in local and Group projects
* Assist Head of Governance to prepare Compliance Committee Governance and Risk Committee packs
* General administrative tasks to support the team


* 4+ years relevant work experience - you may be within investment management currently, or in practice/professional services working with investment management clients
* Good knowledge of financial securities, including equities, fixed interest and derivatives gained through either tertiary studies or work experience
* Knowledge of the Australian regulatory regime and regulatory requirements
* Excellent problem solving and analytical skills
* Desire to develop compliance skills and work within the compliance industry
* Ability to communicate effectively with staff of all levels

Aside from working with one of the best names in the investment management industry, you will be rewarded with the collaborative and social culture that the business has to offer and exceptional career opportunities.

If you are interested, please send your cover letter and resume to Claire Tate via the apply link on this website, or call 02 9216 6733 for a confidential discussion.