Compliance Manager - Asset Management
Salary AUD130,000 - AUD150,000 per annum + Bonus
Location Sydney CBD
Consultant Nicholas Burgess
Date posted 6 April 20181 Farrer place Sydney 2000 Robert Walters Australia
This market leading Fund Management firm requires a Compliance Manager to join their existing compliance team. The role will involve providing advice and guidance to the business and associated entities in order to satisfy all external regulatory obligations and client contractual requirements. The role is a true business partner to the asset and fund management team. Candidates with both retail and institutional experience will be at an advantage.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory requirements on the operation of the funds management business and undertake compliance monitoring procedures as necessary in the fulfilment of these compliance requirements
- Ensuring that all boutique funds for which this business acts as the responsible entity meet relevant risk and compliance legislation.
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Ensure current knowledge of changes to the Corporations Law and industry trends is maintained
- Assess the impact of legislative changes to the business, and ensure the business units are fully informed
- Assisting the Compliance Manager on all aspects of the Internal and External Audits - full business reviews, identifying control weaknesses, and implementing measures to address any weaknesses
Suitable candidates will possess -
- 4-8 years relevant compliance experience in financial services firm or advisory business
- Knowledge of laws and regulations relevant to the funds management industry, such as Corporations Act Chapter 5C, SIS prudential regulations and Chapter 7
- An appreciation of regulatory requirements for compliance within a fund manager
- Proven track record of working in a team environment
- Degree qualification in business, law or finance related discipline
- Excellent written and verbal communication skills
To apply please click apply or call Nick Burgess on 02 8289 3175 for a confidential discussion.