Senior Compliance and Risk Manager
Dimensional Fund Advisors, L.P. Sydney, Australia
Notes to applicants: Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach which includes working 3 days in the office and the choice to work 2 days in the office or remotely, depending on what is best for that work day. This maximizes in-person collaboration and interaction while simultaneously providing flexibility.
This broad universal approach applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role.
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Job Description: Act as 2IC to the Australian Head of Compliance and Risk Management in all aspects of compliance and risk management and monitoring for the Australian office of Dimensional. Forming part of a large global team of compliance and risk professionals and a small local team, the Senior Compliance and Risk Manager will participate in the evaluation, ongoing development, implementation and maintenance of Dimensional's compliance and risk management framework and will play a pivotal role in fostering the development of a culture of compliance with regulatory, fiduciary and legal obligations, industry standards and internal company policy.
Responsibilities will include: Ongoing development, implementation and maintenance of the key elements of Dimensional's compliance management framework, having regard to its business and strategic objectives. Identification and analysis of all compliance obligations (existing and new) that impact on Dimensional's operations, and seeking expert legal advice as required. Monitoring regulatory and industry developments, and responding to changes by way of implementing policy, process, and associated employee training. Ongoing development, implementation and maintenance of Dimensional's operational compliance program; considering both generic compliance processes under AS3806, as well as legislative and Dimensional-specific compliance processes. Ongoing development, implementation and maintenance of the compliance monitoring program, including testing of compliance measures, documentation of internal controls and maintenance of compliance databases and registers. Coordinate facilitation of Dimensional's Operational Risk Management Framework in accordance with the Risk Management Policy and Guidelines and global Risk Management Framework. Project Management of product initiatives and changes to PDSs and compliance plans. Secretary of the RFC, Compliance Committee and PDS Due Diligence Committee. Preparation of compliance reports to management, the Compliance Committee and the Board. Liaising with compliance auditors in relation to their annual audits of the Compliance Plan and GS007 Report on Internal Controls. Provision of advice and training on compliance issues to the firm and its staff. Liaising with other compliance staff in the Dimensional Group and external regulators. Ensuring business integration of compliance and risk management solutions. Qualifications and experience: Minimum of bachelor's degree in accounting, finance, legal or a related field. The ability to interact in an effective and knowledgeable manner with other staff working at all operational levels of the business. At least ten years' experience in solving compliance issues and developing compliance and risk management practice in the financial services industry. Specific practical experience in implementing and maintaining corporate compliance programs. Strong understanding of the legal and regulatory environment in which Dimensional operates, most notably the Managed Investments Act (MIA) and an ability to identify and incorporate regulatory reforms as they arise. Strong knowledge of Australian Standard AS3806 - Compliance Programs. Strong knowledge of AS / NZS ISO 31000 and / or AS / NZS 4360 - Risk Management. Good understanding of common financial services industry practices. Excellent project planning and project management skills. Well-developed computer skills, with proficiency in MS Word and Excel. Excellent organisational and communication skills (oral and written), with the ability to translate complex information and situations into clear, concise and effective messaging and policy. Self-starter who is passionate and capable of rapidly learning key elements of the business, industry and regulatory environment. Ability to deal with stress and manage multiple projects and prioritise deliverables. Strong work ethic, attention to detail and ability to demonstrate initiative and personal integrity. Ability to balance commercial considerations with reputational and legal risk. Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.
It is the policy of the Company to provide equal opportunity for all employees and applicants.
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