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Risk and Compliance Lead
3 months ago
Our client is a leading multi-boutique asset manager with a specialist focus on ethical investing, actively managed equities, not-for-profits, and agriculture for retail and institutional investors.
Our client is a private company, 100% owned by our directors and employees, and they have a Board of Directors with a majority of independent director representation.
Due to exciting growth within the company they are now looking to take on a Risk and Compliance Lead to join their tight knit, collaborative team.
The Role
Reporting to the Head of Risk and Compliance, you will be responsible for ensuring regulatory compliance, managing compliance registers, implementing risk management practices, and facilitating audits.
You will have a strong understanding of regulatory requirements, excellent analytical skills, and the ability to work collaboratively with various stakeholders.
The Responsibilities:
Implement the risk management framework and foster a proactive risk and control culture within the organisation;
Engage with business units to facilitate ongoing risk reviews and ensure risks are captured in the risk management system;
Prepare risk analysis reports for each business unit and enhance risk reporting practices;
Manage compliance plan monitoring for the organisations registered managed investment schemes;
Maintain compliance registers and ensure timely recording and resolution of compliance issues.
Coordinate and deliver compliance training to staff on key compliance issues and regulatory requirements;
Maintain ASIC register and ensure timely lodgement of ASIC forms/documents;
Assist in the review of product disclosure statements and other relevant scheme documentation;
Conduct root cause analysis of issues and incidents and implement control improvements;
Assist in the development of an organisation-wide operational resilience framework; and
Conduct business impact assessments and map critical processes and systems for each business unit.
Qualifications and Requirements:
Bachelor's degree in finance, business, or a related field;
Minimum 5 years experience in risk management;
Demonstrable experience within compliance registers (i.e breach registers and reporting);
Sound knowledge of regulatory requirements, including ASIC regulations;
Strong analytical and problem-solving skills;
Excellent communication and interpersonal skills;
Ability to work effectively both independently and as part of a team; and
Previous experience using Protect systems will be highly regarded.
The Perks:
Be apart of a growing organisation that works across multiple business platforms;
Join a workplace that values inclusion and where everyone is welcome and respected;
Work-life balance is important to us, and we have several options, including flexible and remote working arrangements;
There are several social events throughout the year, not just for you, but also for your partner and family;
Invest in your future with ongoing Learning and Development opportunities;
Our Employee Assistance Program includes free confidential counselling sessions for employees and their immediate family members for personal or work-related issues; and
We care about your health and wellbeing and have designed a wellbeing calendar with a purpose.
Please submit your resume in Word format only.
