Compliance Manager
This firm has strong growth plans in the Australian and international market, and this role will act as the first line of defence to ensure that all regulatory risks are suitably identified and mitigated as the business expands.
Duties will involve:
- Partnering, advising and challenging the business in relation to the management of regulatory risks and compliance
- Participating in key change management meetings as a compliance representative
- Making the business aware of and assisting in the roll out and implementation of the compliance framework, programs and policies, including execution of the regulatory risk assessment program
- Responding to compliance related questions/queries and providing advice on key matters
- Ensuring that the business raises issues in a timely manner, appropriately quantifies these and effectively resolves them
- Drafting key risk reports eg: to Senior Management
- Regulatory liaison with ASIC
Suitable candidates will possess:
- Significant (5+) years of experience in a compliance role within a funds business
- Excellent knowledge and understanding of institutional funds
- Preference will be given to candidates with a legal qualification
- Detailed understanding of ASIC Corporations Act
- Experience in running Control Self Assessment programs
For further information or a confidential career discussion, please contact Henry Smith on 02 8289 3131, alternatively email an updated CV to henry.smith@robertwalters.com.au
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