Compliance Manager

Highlights

  • Excellent track record of career progression in th
  • Work alongside a very high performing team
  • Provide advice to the business on a range of compl

Job Description:

As a leader within their field, they pride themselves on their strong track record of helping professionals build careers with their firm. Continuing to gain market share, they offer innovative investment solutions to a wide range of clients all over the world. Due to an internal promotion, they are looking to bring in a Compliance Manager into their team. This role will work closely with the wider team to execute their Compliance programme. This role will be focussing primarily on Investment Compliance & Regulatory Governance.

Responsibilities:
  • Investigate, monitor and assess any incidents and breaches of IMAs, relevant law and fund constitutions and provide advice and guidance regarding reporting to the board, committees, regulators and other stakeholders
  • Ongoing review of investment related processes and procedures to identify areas of improvement, and work with these business units to ensure the compliance risk is minimised
  • Review and enhance the existing investment and regulatory governance related frameworks, and the provision of subject matter expertise to the business with respect to investment related activity
  • Provide advice to the business in relation to their Compliance obligations
  • Develop, review and maintain compliance policies and procedures
  • Participate in project work across the business
  • Communicate with regulators as needed
  • Assisting with reporting on all of the above

Requirements:
  • 5 - 10+ years of Compliance experience within Financial Services (preferably investments)
  • Strong stakeholder management skills; with the ability to advise and influence
  • A solid understanding of the funds management industry, and relevant sections of the Corps Law and AQUA rules.
  • The ability to operate as a senior team member, providing guidance and advice to the wider team.
If you are interested in finding out more about the opportunity, or would like to apply, please click apply below; or call Harry Barker (0399828473) for a confidential discussion.

If this role is not of interest, and you would like to explore other roles across the Internal Audit, Risk & Compliance market in Melbourne, please send your CV to hbarker@fourquarters.com.au or call 0399828473 for a career consultation.

#LI-HARRY

Apply Now

This advertiser's application form opens in a new window.

Check your browser's popup blocker settings if you're experiencing problems.

Apply Now

This advertiser's application form opens in a new window.

Check your browser's popup blocker settings if you're experiencing problems.

Follow Us    Linkedin
Copyright © 2019 FourQuarters Recruitment. All Rights Reserved // Website Design by 23 Digital
Search Jobs