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Risk and Compliance Professional

1 month ago

Sydney, New South Wales, Australia Kaizen Recruitment Full time

With an estimated salary of $80,000 to $120,000 per annum, this exciting opportunity awaits a Risk and Compliance Professional to join our esteemed asset management firm in Australia. Our company offers access to a diverse array of asset classes and global partnerships, serving a wide spectrum of clients from institutional investors to retail clients.

About the Role

As a key member of our team, you will work closely with the Chief Operating Officer, product and operations teams, and distribution teams. You will also engage with our investment management partners, exposing you to senior business leaders and various matters, thereby building your experience. This unique opportunity allows a Risk and Compliance Analyst to step into a newly established position, playing a pivotal role in shaping the compliance landscape of our dynamic and expanding organisation.

Key Responsibilities
  • Contribute to the development, implementation, and maintenance of an effective compliance, risk, and regulatory framework.
  • Assist with monthly and annual compliance reports.
  • Undertake and maintain appropriate compliance monitoring programs.
  • Support the business on the end-to-end lifecycle of alternative products on all risk and compliance matters.
  • Assist in managing corporate risk and compliance as directed or supervised.
  • Assist in monitoring business impact of regulatory change and implementing action plans.
  • Maintain compliance registers: breaches, incidents, conflicts of interest, personal trading, restricted companies.
  • Assist with AML/KYC matters, reviews, and audits.
  • Support in drafting responses to clients' compliance questionnaires and other requests.
  • Assist with monitoring key service providers.
  • Assist with other compliance project work and reporting as required.
  • Liaise with external trustee providers as necessary across registered and unregistered product.
  • Assist with the preparation and review of product disclosure documentation, DDQs etc.
  • Assist in preparation of risk and compliance reporting materials for relevant boards, committees, and management forums.
Requirements
  • Bachelor's degree or equivalent in Accounting, Finance, Law, Business, or a related field.
  • At least 2 years of relevant risk and compliance experience or in a professional services role (e.g., accounting, auditing, consulting) with a strong interest in transitioning to asset management, specifically risk and compliance.
  • Demonstrated eagerness to learn and grow in the field of risk and compliance with a broad understanding of investments.
  • Strong client service ethic, interpersonal communication and written skills and proven ability to work with others.
  • A proactive self-starter with initiative, capable of working without supervision and assume responsibility for completion of multiple tasks with attention to detail.
  • Excellent time management skills and the ability to meet strict deadlines.
  • Problem solving skills, with the ability to quickly respond to issues and unprompted will look for process improvements and additional responsibility.
  • Natural curiosity to find innovative ways to enhance current processes and procedures.
  • Looks to incorporate technology into your role and business delivery.
  • Advanced Excel, PowerPoint and Word knowledge required, ideally experience with a governance, risk, and compliance (GRC) system.