Compliance Officer - Funds Management

Our client is a leading Funds Management firm with award-winning products across a range of asset classes. In providing investment solutions in a highly agile and rapid environment, they also invest in their own exceptional people.

Role Overview

A key role in managing the oversight of the organisations' compliance and governance strategy. Support the Head of Compliance with the provision of timely advice/guidance to business together with the management of compliance processes and procedures.

Responsibilities

• Assist in the administration and maintenance of the compliance and risk management program in line with corporate and Australian Financial Service licencing requirements
• Monitoring of internal and external parties against scheme compliance plan obligations and contractual arrangements
• Lead incident and breach reporting requirements
• Assist with preparation and distribution of governance and committee papers 
• Due diligence reviews of Managed Account disclosure documents
• Assist in the monitoring of internal and external parties against scheme compliance plan obligations
• Assist in the management of the various Audit programs
• Assist with the management of key supplier agreements and deliverables
• Filing, lodgment and documentation management.

Skills & Experience

• Undergraduate tertiary qualification. Law degree highly regarded.
• Minimum of 2 years' experience in financial services compliance, risk or investment governance. 
• Strong time and project management skills and multi-tasking capabilities to produce quality work often with strict and potentially conflicting deadlines.
• High attention to detail, strong administrative and organisational skills.
• Strong interpersonal and communication skills.
• 4 Days per week in the Sydney CBD (non-negotiable)

Please note sponsorship is not on offer under any circumstances.