Compliance & Risk (Banking & Financial Services) Join a global Equity fund to shape their Compliance function with an international remit.
Highly ambitious environment with a flat structureNewly created role.
Melbourne CBD basedBuild a fit for future purpose Compliance capability spanning Asia, Australia and North AmericaCompetitive package plus bonus on offerCompany Overview A rare opportunity has arisen with an ambitious fund with over $2.5bn AUM.
We are working exclusively with the CEO to build a regulatory function which partners with the firm as they lift business capability.
The role would work with C-Suite, Sales and Marketing and Investments teams on a daily basis.
Success equals a close relationship with the business providing daily advice on changing regulation, market conditions and new product development.
Key Responsibilities Focus on AFSL requirements and AFSL compliance monitoring.Assist in the AFSL Compliance Plan review and monitoring.Ensure timeliness of scheme regulatory lodgments.Lead daily review and approval of marketing material.Develop & maintain operational relationships with key service providers.Investigating and reporting compliance breaches.Assist in the review and update of compliance policies, procedures, and training programs on an ongoing basis.Ensure the timely and accurate reporting of compliance and risk-related issues to the senior manager.Collaborate with internal and external stakeholders, including regulators, auditors, and service providers, to ensure compliance with relevant laws, regulations, and industry standards.Assist in the management of risk assessments and reviews.Collaboration with external Risk and Compliance provider to Maintaining compliance and AFSL frameworkAssist with the Mifid/ AML/CTF ProgramMonitoring of international regulatory changesCompliance monitoring activitiesCompliance plans and obligationsRespond to local authority's request or queries related to the corporate management/ business license.Desired Skills & Experience 10+ years Compliance experience with Funds management sector.
(essential, experience outside of funds will not be considered)Working knowledge of securities laws, AFSL licensing, investment company act, Corp Act and anti-money laundering regulations.Excellent communication and interpersonal skillsStrong analytical and problem-solving skillsThe ability to work autonomouslyAdept at managing capacity and prioritisation, together with proactively offering and developing solutions to the business.Advantageous Problem solver, self-starter, detail oriented with strong knowledge for the ever-changing international equities marketExperience working in a changing, fast paced, and dynamic office environment. #J-18808-Ljbffr
