ABOUT OUR CLIENT
Our client is a leading Australian investment manager with a global perspective and a strong track record of long term performance. With a culture built on innovation, integrity and ownership, they are passionate about uncovering growth opportunities for their clients while building a high performing and collaborative internal team.
ABOUT THE ROLE
Reporting to the Head of Operations, Compliance and Risk, this is a key leadership role that offers the opportunity to shape compliance practices, mentor junior team members and work alongside a highly engaged and values driven group of professionals.
As Senior Compliance Officer, you will lead the delivery of compliance programs, ensure adherence with regulatory obligations and act as a trusted advisor across the business. You will play a critical role in developing and embedding a strong culture of compliance, while enabling the business to achieve its strategic objectives.
KEY RESPONSIBILITIES
- Leading, coaching and supporting the Compliance Officer to deliver best practice outcomes
- Advising on local and international regulatory requirements, and implementing these into daily business practices
- Reviewing and approving investor communications, marketing materials, fund documents and related content to ensure alignment with policy and regulation
- Managing compliance incidents and breaches, including investigation, resolution and follow up actions
- Maintaining policies and procedures to reflect legislative and regulatory changes
- Supporting portfolio compliance and ensuring obligations are met
- Collaborating with stakeholders to identify and mitigate risk
- Supporting internal compliance training and awareness initiatives
- A minimum of five years’ experience in compliance, risk or governance within funds management or a related investment environment
- Strong understanding of regulatory frameworks including AFSL, ASIC and RG146
- Proven leadership and mentoring skills
- Excellent attention to detail and organisational ability
- Strong communication and stakeholder engagement capabilities
- The ability to work both independently and as part of a collaborative team
- Tertiary qualifications in Law, Commerce or Business (highly regarded)
If you are a compliance professional looking to take the next step in your career, we would love to hear from you.
