Risk Management Specialist

2 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $160,000 - $190,000
Compliance Officer Job Overview

We are seeking a detail-oriented and proactive compliance professional to join our team. The successful candidate will play a critical role in conducting thorough due diligence and assessing compliance, reputational, and financial risks associated with vendors, clients, and counterparties.

Key Responsibilities:
  • Conduct in-depth analysis of financials, legal documents, and regulatory filings related to acquisitions, partnerships, and investments within the CFD and broader financial services sectors.
  • Identify and evaluate compliance, financial, and third-party risks to ensure alignment with our risk tolerance and regulatory obligations.
  • Monitor and assess vendor and partner relationships for reputational, operational, and regulatory risks, ensuring continued adherence to contractual and compliance requirements.
  • Track and interpret regulatory developments in financial markets to inform due diligence strategies and ensure ongoing compliance.
  • Prepare clear, actionable due diligence reports that highlight key findings, risk factors, and recommended mitigations for senior decision-makers.
  • Cross-Functional Collaboration: Coordinate with internal teams—including Legal, Risk, Finance, and Operations—to gather information and ensure a holistic review process.
  • Policy Compliance: Ensure all due diligence activities comply with internal policies and applicable regulatory standards, particularly regarding third-party engagements.
  • Process Enhancement: Proactively improve due diligence frameworks by integrating evolving industry standards, regulatory updates, and risk management best practices.
  • Stakeholder Communication: Present findings and risk assessments effectively to management and relevant stakeholders, supporting informed decision-making.
Requirements:
  • Bachelor's degree in Law, Finance, or related field; advanced degree preferred.
  • At least 2 years of experience in compliance, legal, due diligence, or audit roles within financial services.
  • Strong knowledge of regulatory frameworks (e.g., MiFID, MiCA, AFM, SEC).
  • Proven experience in due diligence, risk assessment, auditing, and regulatory research.
  • Ability to analyze financial statements and assess third-party risk.
  • Bilingual in English and Chinese (preferred).
  • Excellent analytical, communication, and report-writing skills.
  • Strong collaboration skills and ability to work across teams.
  • Organized, detail-oriented, and able to manage multiple priorities.

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