Director, Risk and Compliance

Job Description

We’re looking for a commercially minded, strategically driven Director, Risk & Compliance to lead Roc Partners’ firm-wide risk and compliance agenda across multiple jurisdictions. If you thrive on translating regulation into practical, scalable controls and enjoy partnering with senior leaders, Boards and committees to shape risk culture - this is a chance to set the standard for a high-performing private markets firm.

This role suits an experienced financial services risk/compliance leader (ideally with private markets exposure) who can critically assess policies and processes, advise on investment and mandate compliance, and build a disciplined, forward-looking framework that enables growth.

ABOUT US

Roc Partners is a leading alternative investment management firm, specialising in private markets in the Asia Pacific region. Our investment strategies cover the full spectrum of private markets including private equity, venture capital and real assets. Our private equity strategies include funds, secondaries, co-investments, and direct investments. More information can be found at rocp.com

ABOUT THE JOB

Reporting to the Partner, Investment Services, you’ll contribute to business success through the identification, control and mitigation of operational risk and ensuring the maintenance of a robust risk management and compliance frameworks, enabling the business to undertake its primary activities in accordance with changing operational and regulatory requirements in a manner that is aligned with business and stakeholder risk tolerances.

Key responsibilities include:

- Strategic advisory: Advise the business, Boards and committees on risk appetite, emerging risks and mitigation; implement review findings.

- Risk & compliance frameworks: Lead fit-for-purpose policies, procedures and systems to identify, assess, mitigate and monitor risks across all business units; clarify ownership and accountability.

- Regulatory oversight: Ensure compliance with APRA/ASIC and other regimes; monitor change, oversee AML/CTF and fraud frameworks; manage regulatory filings and engagement.

- Investment/mandate compliance: Monitor activities versus internal policies and fund/mandate requirements; guide investment teams on risk mitigants.

- Reporting: Oversee reporting to Boards and ARCC on exposures, incidents and remediation.

- Culture & leadership: Champion a strong risk and compliance culture; lead and develop the Risk & Compliance team; keep the firm ahead of sector standards.

- Service Provider Oversight: Oversee third-party service providers to ensure compliance with contractual arrangements and industry standards with respect to risk management.

ABOUT YOU

In addition to displaying a strong commitment to Roc Partners culture and values, you’ll bring a commercial, strategic mindset with the judgement to balance risk and business objectives.

QUALIFICATIONS/CRITERIA

- Minimum 10 years’ experience in audit and compliance roles within the financial services industry, preferably with time spent in both a professional services firm and in-house at a financial services firm. Private Markets experience preferred with demonstrated experience in a leadership role managing a team.

- Strong capability in developing and implementing risk and compliance programs tailored to Funds Management firms.

- Bachelor’s degree in Law, Business, Commerce, Finance, Accounting or related field.

- Working knowledge of various fund structures advantageous

- Strong understanding of regulatory frameworks and operational risk.

- Working knowledge across multiple jurisdictions with particular regard given to New Zealand, Hong Kong and the United States

- Strong grasp of funds/mandate structures, multi-jurisdictional regulation (incl. NZ, HK, US), and operational risk.

- Able to translate regulation into pragmatic, scalable controls and communicate clearly to senior stakeholders.

WHY JOIN US?

We take great pride in fostering an inclusive and diverse workplace culture at Roc Partners, where our collaborative team thrives within a flat organisational structure. Recognising and rewarding drive and passion is a cornerstone of our ethos, with our key benefits encompassing professional growth, health and wellness, and recognition.

Our team members enjoy a range of benefits, including:

- Gender-neutral company-paid parental leave

- A study assistance program

- Income Protection for all permanent Australian employees

- Opportunities to invest in Roc Partners funds

- Family and friends rates for select Roc Partners produce portfolio companies

- Participation in paid workplace giving and volunteering initiatives.

HOW TO APPLY

If you’d like to join Roc Partners, please apply with your CV and a covering letter via the “Apply” button below.

All information provided by applicants will be used for recruitment purposes only.

Note – no recruitment agencies please.

Due to the high volume of applications, only shortlisted candidates will be contacted

You must have valid Australian permanent working rights to be considered for this role.

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