Compliance Risk Specialist
6 days ago
About the Company:
Kaizen Recruitment is proud to partner with a leading industry fund manager that manages wholesale funds and trusts for institutional and high net worth clients and retail clients. This employee-owned company has a strong track record of delivering exceptional returns.
About the Role:
This is a broad role that will provide immense learning and development in a well-experienced team. As a Compliance Risk Specialist, you will work closely with the Head of Risk and Compliance and other stakeholders in a collaborative, supportive, and high-performing environment.
Key Responsibilities:
- Support the risk and compliance team with the implementation and maintenance of the risk and compliance framework;
- Monitor investment compliance to ensure adherence to all relevant regulations, internal policies, and procedures;
- Proactively prepare and deliver regular risk and compliance reports to assist in the preparation and presentation of compliance documentation for senior management as required;
- Actively monitor regulatory changes and assist in the development and implementation of action plans to ensure compliance within the organization;
- Assist in preparing responses to audit findings and other proposals;
- Support the management of compliance registers, including breaches, incidents, trade errors, conflicts of interest, personal account trading, and restricted companies;
- Respond to internal AML queries, conduct monthly AML/KYC reviews, and support periodic AML audits.
Technical Skills & Qualifications:
- Tertiary qualifications in Commerce, Finance, Economics, Law, or a similar discipline;
- 2+ years' experience in risk and compliance positions within funds management, Big4 audit/consulting, or other financial services industries;
- Knowledge of financial markets and an interest in the investment management industry;
- A deep knowledge of governance, risk, and compliance controls and frameworks;
- Knowledge of the Australian regulatory landscape APRA, ASIC, AUSTRAC;
- Strong ability to multitask and work to a deadline as a highly motivated professional with a strong work ethic;
- Possess exceptional verbal/written communication skills;
This is a highly sought-after opportunity for a Risk and Compliance professional to support a highly regarded funds management organization while gaining deep exposure to a broad range of funds management risk and compliance tasks.
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