Compliance Analyst

3 days ago

Melbourne, Victoria, Australia PX Resources Full time $60,000 - $100,000 per year
  • Growing financial services organisation within funds and wealth management
  • Broad role with lean function, opportunity to learn and grow
  • Circa 2-4 years Compliance experience or Fund Operations candidate looking to transition into compliance

Our client is a financial services business (funds/wealth management) experiencing significant growth. They are looking for a hands-on and down-to-earth compliance professional to join their lean team.

You will have broad exposure across the compliance function, some of your responsibilities will include:

  • Reviewing investment documents and Investment Management Agreements (IMAs)
  • Monitoring, managing, and reporting of incidents, breaches and complaints
  • Reviewing product disclosure statements (PDSs) and marketing materials
  • Ongoing monitoring and review of compliance obligations and risk management frameworks
  • Conducting risk and compliance monitoring activities
  • Maintaining all compliance registers
  • Reviewing and developing policies and procedures
  • Providing compliance advice to the business and participating in ad-hoc projects

The ideal candidate will have:

  • Circa 2-4 years' experience in compliance, risk experience or fund operations
  • Background in funds management and/or wealth management
  • Can-do attitude, down to earth, ability to work in a lean environment and willing to be hands-on
  • Great communicator with the ability to engage with stakeholders at all levels
  • Relevant tertiary qualifications

This is a great opportunity for someone looking to build their compliance experience in a fast-paced growing environment.

If you would like to learn more, please send your CV through to Jerin Chowdhury at PX Resources ) or apply directly via the APPLY button.

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