Description:
The Company:Our client, who are one of the largest Fund Managers globally, with a strong commitment to responsible and impact investing, is seeking an experienced Senior Risk and Compliance Associate to join their team. This firm is dedicated to delivering outstanding financial returns while driving positive environmental, social, and governance outcomes.The Role:This is a unique opportunity for a compliance and risk professional to join the fasted growing funds management business in Sydney. Reporting to the General Counsel and Head of Risk & Compliance, the successful candidate will play a key role in developing the firm's compliance framework and risk management processes. Our client is committed to training and supporting the successful candidate to enhance their skills and grow within the firm.
Key Responsibilities:Maintain breaches, incidents, complaints, conflicts, and related party dealings registers.Oversee and maintain the restricted list, review personal account trading requests, and conduct quarterly restricted list reviews.Ensure ongoing monitoring of key outsourced service providers and report findings.Manage policy review schedules and update policies in line with regulatory changes and process improvements.Prepare Risk and Compliance Committee (RCC) meeting materials, manage stakeholder input, and track action items.Oversee risk reporting obligations and implementation of the Risk Management Framework.Lead regulatory reporting processes, including FIRB, AIFMD/SFDR, FINRA/SEC, and AUSTRAC compliance.Ensure marketing collateral compliance with relevant regulations.Support inbound and outbound KYC processes for investors and financial institutions.Manage compliance software, update tasks, monitor actions, and conduct quarterly reviews.Oversee compliance training schedules and coordinate online module rollouts.Manage contract obligations within the firm’s contract management system.Develop and maintain a comprehensive compliance and internal controls framework.Collaborate with Portfolio Operations and Responsible Investment teams to establish risk management reporting and escalation processes.Conduct annual compliance reporting and ensure AML program compliance.Provide compliance support to affiliated investment management entities as required.
Key Requirements:Minimum of 3 years of professional experience, in a risk and compliance role within financial services.MUST have a strong understanding of what a good risk & compliance framework looks like.MUST have strong knowledge of risk management and compliance processes.Highly organised self-starter with the ability to work autonomously and meet tight deadlines.Strong attention to detail and ability to manage complex regulatory requirements.Excellent written and verbal communication skills.Confident, proactive, and professional demeanor.
If the above opportunity aligns with your risk & compliance expertise, please submit your updated CV.
18 Mar 2025;
from:
uworkin.com