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Truly global and proudly local, we've been serving Australia for over 25 years with offices in Adelaide, Brisbane, Melbourne, Perth, and Sydney.

Get in touch

Compliance Analyst

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The risk and compliance manager will be reporting into the Senior Risk and Compliance Manager and the General Council. This is a great opportunity to work directly with senior stakeholders in the business.

The risk and compliance analyst will be providing advice and guidance to the broader business with respect to risk and compliance frameworks.

Key Responsibilities:

  • Regular reporting to the board or delegated committees such as the Risk and
    Compliance Committee on risk assessments, identifying emerging or changing
    risks; and the maintenance and communication of compliance policies and procedures.
  • Conduct compliance plan and risk monitoring and testing related to licensing, with regards to AML/CTF and Privacy Act obligations.
  • Manage investment guideline changes including the testing and implementation within the
    trading system and with external providers.
  • Draft and gather information in relation to regulatory, audit and similar inspections, such as
    AIST and GS007.

Key Requirements:

  • 2 years experience in a compliance role.
  • Experience in working in funds, investment management.
  • Knowledge and understanding of financial services and licence obligations in Australia (e.g.
    ASIC requirements, responsible managers, AML)

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Ali Heffernan on 02 8289 3193 for a confidential discussion.

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: Negotiable

Workplace Type: Hybrid

Experience Level: Entry Level

Location: Sydney

Job Reference: 1955260/001

Date posted: 24 May 2024

Consultant: Ali Heffernan

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