Compliance Officer Investment Management

7 days ago

Sydney, Australia Keegan Adams Full time

Global Investment Manager with boutique Australian presence
- Varied role with autonomy across your workload and global exposure
- Highly experienced and stable team with a flexible working env.

This
**Global Fund Manager **has built an outstanding reputation in the market from decades of high performance and industry leading investments. They are seeking a
**Compliance Officer** to join their highly experienced Legal & Compliance team.

You will join an experienced and supportive team, in a role that will expose you to all areas of Compliance and Investment Risk, liaising with stakeholders both locally and regionally.

You will support the implementation and administration of compliance frameworks and processes to ensure that relevant business risks are identified, assessed, monitored and managed appropriately.

**The diverse range of responsibilities would include;**
- Day to day monitoring of investment guideline compliance, advising team of warnings/alerts and breaches.
- Substantial shareholdings monitoring and reporting.
- Assist with regulatory compliance support to ASIC.
- Prepare materials to support internal and external audits.
- Prepare monthly compliance reports for clients.
- Maintain a range of registers and certificate in line with regulatory and operational compliance frameworks.
- Participate in ad hoc compliance monitoring reviews.

**To be successful**:
You will have a minimum of
**1-3 years **from
**financial services **where you have been exposed to compliance and investments in either a direct compliance or operational role. This could include investment management, custody, share registry or wealth.

Ideally, you will have a good knowledge of financial securities, including equities and fixed interest, gained through tertiary experience or study. Charles River experience would also be a benefit.

You will demonstrate excellent attention to detail, the ability to prioritise and meet deadlines and communicate at all levels across a business.

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