Senior Compliance Specialist

3 weeks ago

Melbourne, Victoria, Australia SMC Executive Full time
Senior Compliance Specialist - Managed Funds & ETF

Reporting to the Head of Compliance this role will act as a trusted Compliance advisor to the Managed Funds and ETF business stakeholders, leveraging your experience across investment products to provide compliance advice and challenge through:

  • Continually assessing the regulatory requirements for responsible entity/business lines and suggesting courses of action for business leads to make informed decisions, whilst maintaining ongoing challenge on the sufficiency of documented controls.
  • Supporting the Product and ETF Capital Markets functions in relation to product disclosures including target marketing determinations (DDO) and ASX listing requirements etc.
  • Leading the review and maintenance of the Compliance Plan for managed investment schemes.
  • Designing and maintaining policies and procedures to address identified compliance risks and fulfil compliance obligations that are useable for the business to deliver compliant outcomes.
  • Assessing complex incidents and breaches and supporting the business in defining resolution and remediation.
  • Working in collaboration with the Compliance Reporting Team to prepare Compliance reports and attend various steering committees and management meetings.
  • Providing ongoing compliance training to business stakeholders as required.

Candidate Experience

We are seeking applications from experienced senior compliance professionals with relevant investment management / superannuation industry experience and expertise with particular exposure to managed funds and ETF product preferred.

You are highly driven and outcome oriented, possessing first class 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 about this opportunity please contact Tim Carmichael at SMC Executive on 0409 154 322, otherwise to apply please click on the link below.

Qualifications
  • Experience in investment management / superannuation with particular exposure to managed funds and ETF product preferred.
  • Strong communication and presentation skills with a client-focused mindset.
  • Ability to engage, influence and build relationships with senior business stakeholders.

Note: The original posting included additional job-market listings and location notes which are not reproduced here to maintain a focused, compliant job description.


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