
Senior Investment Fund Governance Specialist
6 days ago
We are seeking a senior compliance professional to manage funds and ETFs. The role will act as a trusted advisor to the business stakeholders, leveraging experience across investment products to provide compliance advice and challenge through:
- Continually assessing regulatory requirements for responsible entity/business lines and suggesting courses of action for business leads to make informed decisions, whilst maintaining ongoing challenge on the sufficiency of documented controls.
- Supporting product and ETF capital markets functions in relation to product disclosures including target marketing determinations (DDO) and ASX listing requirements etc.
- Leading the review and maintenance of the Compliance Plan for managed investment schemes.
- Designing and maintaining policies and procedures to address identified compliance risks and fulfill compliance obligations that are useable for the business to deliver compliant outcomes.
- Assessing complex incidents and breaches and supporting the business in defining resolution and remediation.
- Working in collaboration with the Compliance Reporting Team to prepare Compliance reports and attend various steering committees and management meetings.
- Providing ongoing compliance training to business stakeholders as required.
Candidate Experience
We are looking for a highly driven individual with first-class communication and presentation skills, possessing a strong client focus. The ability to engage, influence, and build strong working relationships with senior business stakeholders is key to success.
Key Qualifications include:
- Experience in investment management/superannuation with particular exposure to managed funds and ETF product preferred.
- Strong communication and presentation skills with a client-focused mindset.
- Ability to engage, influence, and build relationships with senior business stakeholders.
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