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Compliance and Risk Specialist
2 months ago
About the Role:
The Compliance and Risk Analyst will provide generalist compliance and risk support in the trading markets, internal controls and monitoring, and corporate compliance areas of the business. This role will also provide 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 set-up, 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 in conveying 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, to assist the business in providing relevant compliance and regulatory advice.
- Bachelor's degree in Finance, Accounting, Economics, or similar.
- 1-3+ years' experience with an investment manager, audit, or financial risk/compliance consulting business.
- Working knowledge of equity products; fixed income and derivatives knowledge a plus.
- Well-developed computer skills: intermediate to expert use of MS Office is essential. Familiarity with CRIMS or similar portfolio mandate monitoring system is highly desired; as is experience with Sharepoint and MS Power BI.
- Experience with object-oriented database platforms and process automation a major plus (SQL, VBA, etc).
- Self-motivated individual with high standards for accuracy and attention to detail, capable of rapidly learning key elements of the business, working on multiple projects, and meeting deadlines.
- Must work well independently, with local business partners, and as part of a global team.
- Excellent written and verbal communication skills and comfortable presenting to internal and external stakeholders.
- Strong work ethic and ability to demonstrate initiative and personal integrity and act as a fiduciary for the business.
- Ability to balance commercial considerations with reputational and legal/regulatory risk.
- Knowledge of ISO 31000 – Compliance Programs; and ISO 31000 – Risk Management.
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