Compliance and Risk Specialist
1 week ago
Job Title: Compliance and Risk Analyst
Job Summary:
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. The 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 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, to assist the business in providing relevant compliance and regulatory advice.
Requirements / Qualifications:
- 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 who has high standards for accuracy and attention to detail who is 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.
About Dimensional:
Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.
-
Compliance Manager
7 days ago
Sydney, New South Wales, Australia HCF - Risk, Legal & Compliance Full timeAbout the RoleWe are seeking a highly skilled Compliance Manager to join our Risk, Legal & Compliance team at HCF. As a key member of our team, you will be responsible for providing advice and support on compliance matters to all business areas of HCF and its subsidiaries.Key Responsibilities:Ensure all HCF compliance obligations under the Risk Management...
-
Compliance Manager
2 weeks ago
Sydney, New South Wales, Australia HCF - Risk, Legal & Compliance Full timeAbout the RoleWe are seeking a highly skilled Compliance Manager to join our team at HCF - Risk, Legal & Compliance. As a key member of our compliance team, you will play a critical role in ensuring that our organization meets all regulatory, legislative, and business requirements.Key ResponsibilitiesDevelop and implement effective compliance management...
-
Business Risk Consultant
2 months ago
Sydney, New South Wales, Australia HCF - Risk, Legal & Compliance Full timeAbout HCF - Risk, Legal & ComplianceHCF is a leading health fund that prioritizes the well-being of its members. Our purpose is to make healthcare accessible, understandable, and high-quality.The RoleWe are seeking a highly skilled Business Risk Consultant to join our Risk, Legal & Compliance team. As a key member of our team, you will play a critical role...
-
Compliance Risk Specialist
1 week ago
Sydney, New South Wales, Australia Woolworths Full timeJob Title: Compliance Risk SpecialistWe are seeking a highly skilled Compliance Risk Specialist to join our team at Woolworths Group. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Conduct regular compliance...
-
Risk and Compliance Specialist
5 days ago
Sydney, New South Wales, Australia AIA Full timeAbout the Role:We are seeking a highly skilled Risk and Compliance Specialist to join our team at AIA. As a Risk and Compliance Specialist, you will be responsible for delivering on AIA's purpose, vision, and strategy by developing, supporting, and championing a high-performing risk culture.This role will also be responsible for supporting the Senior...
-
Risk and Compliance Specialist
7 days ago
Sydney, New South Wales, Australia AIA Full timeJob SummaryWe are seeking a highly skilled Risk and Compliance Specialist to join our team at AIA. As a key member of our risk and compliance function, you will play a critical role in ensuring the delivery of our purpose, vision, and strategy by developing, supporting, and championing a high-performing risk culture.This role will also be responsible for...
-
Risk and Compliance Specialist
6 days ago
Sydney, New South Wales, Australia AIA Full timeAbout the Role:We are seeking a highly skilled Risk and Compliance Specialist to join our team at AIA. As a Risk and Compliance Specialist, you will be responsible for delivering on AIA\u0027s purpose, vision, and strategy by developing, supporting, and championing a high-performing risk culture.This role will also be responsible for supporting the Senior...
-
Risk and Compliance Specialist
7 days ago
Sydney, New South Wales, Australia AMP Full timeAbout the OpportunityAMP is seeking a highly skilled Risk and Compliance Specialist to join our team. As a key member of our Enterprise Risk Management function, you will play a critical role in ensuring the effective management of risk across our business.Key responsibilities will include:Providing input, oversight, review, and challenge for core areas and...
-
IT Risk and Compliance Specialist
5 days ago
Sydney, New South Wales, Australia CRM Recruitment Full timeJob SummaryWe are seeking a highly skilled IT Risk and Compliance Specialist to join our team at CRM Recruitment. As a key member of our technology Risk and Assurance team, you will play a critical role in providing assurance over the company's controls for IT risk and ensuring compliance with security policies, standards, and guidelines.Key...
-
Compliance Risk Specialist
1 week ago
Sydney, New South Wales, Australia Woolworths Full timeRisk and Compliance SpecialistWe are seeking a highly skilled Risk and Compliance Specialist to join our team at Woolworths Group. As a key member of our Compliance team, you will play a critical role in ensuring the company's compliance with internal policies, relevant contracts/agreements, and all legal and regulatory requirements.Key...
-
Risk and Compliance Specialist
4 weeks ago
Sydney, New South Wales, Australia Sg Fleet Australia Pty Ltd Full timeAbout Sg Fleet Australia Pty LtdWe are a leading financial services company specializing in fleet management, vehicle leasing, and salary packaging. With a presence across Australia, the UK, and NZ, we have a total portfolio under management of $2.5 Billion and over 1200 employees.Job DescriptionAs a Risk and Compliance Specialist, you will be responsible...
-
Risk and Compliance Specialist
1 month ago
Sydney, New South Wales, Australia Zip Full timeKey ResponsibilitiesAs a Risk and Compliance Specialist at Zip, you will be responsible for owning the identification and documentation of key control indicators for ongoing monitoring of control performance.You will work closely with Business Process Analyst, Enterprise Risk, Compliance, and other Business Functional leaders to identify key controls for...
-
Risk and Compliance Specialist
1 month ago
Sydney, New South Wales, Australia Zip Full timeKey ResponsibilitiesAs a Risk and Compliance Specialist at Zip, you will be responsible for owning the identification and documentation of key control indicators for ongoing monitoring of control performance.You will work closely with Business Process Analyst, Enterprise Risk, Compliance, and other Business Functional leaders to identify key controls for...
-
Data Risk and Compliance Specialist
7 days ago
Sydney, New South Wales, Australia Experis Full timeJob Title: Data Risk and Compliance SpecialistJob Summary: We are seeking a highly skilled Data Risk and Compliance Specialist to join our team at Experis. The successful candidate will be responsible for identifying and assessing data risk and developing strategies to mitigate these risks.Key Responsibilities:Develop and implement data risk management...
-
Risk and Compliance Specialist
6 days ago
Sydney, New South Wales, Australia Sg Fleet Australia Pty Ltd Full timeAbout Sg Fleet Australia Pty LtdWe are a financial services company that specialises in fleet management, vehicle leasing and salary packaging, with a presence across Australia, the UK and NZ. A total portfolio under management of $2.5 Billion and over 1200 employees.Our PerksRecharge and relax with up to four extra days of leave each year. We call them...
-
Risk and Compliance Expert
6 days ago
Sydney, New South Wales, Australia SG Fleet Full timeSG Fleet is seeking a Risk and Compliance Specialist to join our team. As a Risk and Compliance Specialist, you will be responsible for identifying, addressing, and reducing risk, ensuring that the ongoing and future legal and regulatory obligations under various licenses, certifications, registrations and regulations are fulfilled in a timely manner by...
-
Senior Compliance Risk Specialist
6 days ago
Sydney, New South Wales, Australia Qantas Full timeJob DescriptionQantas is seeking a highly skilled Senior Compliance Risk Specialist to join our Technology Risk and Compliance team.This is a permanent opportunity working at our Sydney office, with hybrid working options available. As a Senior Compliance Risk Specialist, you will be responsible for delivering to the compliance management frameworks that...
-
Risk and Compliance Expert
4 weeks ago
Sydney, New South Wales, Australia Oxygen Recruitment & HR Full timeRisk and Compliance SpecialistOxygen Recruitment & HR is seeking a highly skilled Risk and Compliance Specialist to join our team on a 6-month fixed term contract.About the RoleThis is a unique opportunity to work with a leading non-bank lender, where you will play a crucial role in ensuring adherence to regulatory requirements and internal policies.Key...
-
Compliance and Risk Management Specialist
5 days ago
Sydney, New South Wales, Australia AXA Group Full timeCompliance and Risk Management SpecialistSydney, AustraliaAs a key member of the AXA XL Compliance Team, you will play a critical role in helping us deliver fair and reasonable customer outcomes across a wide range of products provided to a broad spectrum of policyholders in Australia. While supporting the business commercially, the Compliance Team acts as...
-
Compliance and Risk Management Specialist
3 days ago
Sydney, New South Wales, Australia AXA Group Full timeCompliance and Risk Management SpecialistSydney, AustraliaAs a key member of the AXA XL Compliance Team, you will play a critical role in ensuring the delivery of fair and reasonable customer outcomes across a wide range of products provided to a broad spectrum of policyholders in Australia. While supporting the business commercially, the Compliance Team...