Compliance and Risk Professional

1 month ago

Sydney, New South Wales, Australia Dimensional Fund Advisors Full time

Dimensional Fund Advisors is seeking a talented Compliance and Risk Analyst to join our team. This role will provide generalist compliance and risk support in the trading markets, internal controls and monitoring, and corporate compliance areas of the business.

About the Opportunity

The Compliance and Risk Analyst will primarily be responsible for providing support within the Compliance and Risk team, including maintenance and oversight of monthly monitoring tasks, preparation of compliance materials, and supporting the new hire induction process.

Key Responsibilities:
  • Serve as a compliance and risk resource and point of contact for business partners (Portfolio Management, Trading, Product Management, Client Relations, and Marketing).
  • Extract investment guidelines from offer documents, investment management agreements, and other contractual portfolio constituent documents.
  • Assist with the administration and maintenance of the Charles River Investment Management System (CRIMS), including daily mandate monitoring, rule creation, testing, new account setup, and production enhancements.
  • Assist with investigation and analysis for all trading and financial markets related incidents.
  • Participate in the design, refinement, and execution of monitoring systems, internal controls, and corporate compliance procedures, and any associated audits and/or risk assessments of said controls and/or systems.
  • Assist to convey often complex regulatory and investment concepts to internal and external stakeholders.
  • Assist the global compliance team with surveillance and forensic testing of the front office compliance program, as well as the review and maintenance of compliance policies and procedures.
  • Assist the global risk management team with maintaining appropriate risk management systems.
  • Assist the local Compliance and Risk team with the maintenance and oversight of the Code of Ethics, internal register reviews, and monitoring programs, as well as assisting with the drafting of compliance papers and working group materials.
  • Develop a commercial understanding of Chapter 5C (Managed Invest Schemes) and Chapter 7 (Financial Services and Markets) of the Corporations Act and associated ASIC Regulatory Guides, as well as internal policies, so as to assist the business in providing relevant compliance and regulatory advice.
About the Role

This role requires strong analytical skills, excellent written and verbal communication skills, and the ability to work independently and as part of a global team. The ideal candidate will have a Bachelor's degree in Finance, Accounting, Economics, or similar, and 1-3+ years' experience with an investment manager, audit, or financial risk/compliance consulting business.

The salary for this role is estimated to be around $80,000 - $110,000 per year, depending on location and experience.

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