Compliance Manager, Investments

2 weeks ago

Melbourne, Victoria, Australia SMC Executive Full time
Global Fund Manager Oversight of Regulated Activities for Investment Management & Trading New Role, Background in Markets/Equities/Fixed Income Trading Compliance

This is an exceptional opportunity to join a market leading global investment manager who is renowned for its strong working culture and is widely considered an employer of choice. They have a large footprint and emerging presence in the Australian market and have recently enjoyed an exciting period of growth and diversification.

This newly created role reports to the Head of Compliance and will act as a trusted Compliance advisor to the Investments and Funds/ETF business stakeholders. Responsible for providing guidance and oversight of regulated activities across investment management and trading, the role will also support the development, implementation and maintenance of compliance processes and monitoring functions.

Specific Responsibilities:

  • Advise APAC Investments and Portfolio Management functions on applicable laws, regulations and corporate policies applicable, serving as an advisor to relevant business area stakeholders and internal risk and compliance partners.
  • Participate in business strategic initiatives, providing Compliance input and representation whilst managing Compliance owned deliverables within required timeframes.
  • Manage regulatory visits and inspections. Prepare written inspection and assessment reports and provide recommendations for improvement. Provide guidance to mitigate compliance risks and control gaps.
  • Oversee the design, implementation, execution, and maintenance of Investments related compliance policies and procedures. Support the development of new compliance standards.
  • Review incidents and events reported including root cause and corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
  • Maintain a deep knowledge and awareness of the Investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues.
  • Participate in special projects and perform other duties as assigned.

Candidate Experience
We are seeking applications from experienced senior compliance professionals with relevant financial services industry experience and expertise across investment management or trading functions (Equities and/or Fixed Income).

You are highly driven and outcome oriented, possessing excellent leadership, communication and presentation skills and a strong client focus. Furthermore, your ability to engage, influence and build strong working relationships with senior business stakeholders will be key to your success.

For a more information and a confidential discussion please contact Tim Carmichael at SMC Executive on , otherwise to apply please click on the link below.

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