Compliance Manager - Asset Management

  • Melbourne
  • 27/11/2020
  • Permanent / Full Time
  • 3170055
  • mbeck@fourquarters.com.au

Highlights

  • Asset Management
  • Great Culture + Benefits
  • Rapidly Growing Business

Job Description:

My client is a global Asset Manager renown for their culture and career development. This role will form part of the regional (APAC) Asset Management Compliance team. Acting as a compliance partner to mangers and staff in the business units you will provide consultation and advice on regulatory matters, product governance and conduct monitoring.

Key Responsibilities
  • Support in the development and maintenance of compliance frameworks and related policies and procedures
  • Providing technical research and consultation to support compliance programs and initiatives
  • Being a trusted partner around strategy, businesses, clients and products in order to provide sound regulatory and compliance advice to business partners on regulatory requirements
  • Develop and implement training programs with subject matter experts, and Corporate Compliance.
  • Support the wider compliance team as and when required, including guidelines monitoring and review of marketing materials
  • Attendance and reporting to compliance committees

Key Requirements:
  • Minimum 5 years compliance experience within financial services
  • Previous experience working in Asset Management
  • Knowledge and understanding of investment management products
  • Prior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and industry standards
  • Preferred knowledge (but not essential) of International regulations e.g. MiFID II, UCITS, SEC, APAC regulators.
  • Excellent communication skills both written and verbally
  • Comfortable presenting and reporting to executives and committees
  • Keeping ahead of the game with regards to new regulatory developments

For a confidential discussion around the role or to hear about similar opportunities please call Andy Slater 03 9982 8486

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