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Senior Compliance Manager

2 weeks ago

Australia Perpetual Full time $70,000 - $120,000 per year

Prime Purpose of Role

Generalist investment management advisory and monitoring role. Working across a variety of areas within a small and busy compliance team. One direct report.

Main Responsibilities

  • Advising the business (and wider group were required) on compliance matters such as product, distribution, COLL, new fund launches and sustainability and stewardship
  • Carry out compliance monitoring and assist with the development and oversight of the compliance monitoring programme.
  • Carry out regular and ad-hoc BAU compliance tasks as per allocation
  • Assist with regulatory developments tracking, summarising and implementation where required
  • Carry out regulatory reporting
  • Lead on marketing and RFP material Compliance reviews
  • Compliance lead on conflict management
  • Provide Compliance oversight for custodian (Northern Trust) and Compliance point of contact for Fund Accounting
  • Point of contact for complaints
  • Assist with policy drafting and maintenance where required
  • Oversee, train and develop one direct report
  • Produce training materials and train employees where required
  • Attend committee meetings and forums as required
  • Participate in internal/external audits and client due diligence meetings as required
  • Deputise for the Head of Compliance when required
  • Train less experienced members of the team and share knowledge

Key Skills

  • Extensive generalist advisory and monitoring compliance experience in investment management, with knowledge of UCITS funds.
  • Consultancy as well as in-house experience a plus
  • Good working knowledge of MiFID II topics, COLL, CASS, AML, SMCR, MAR
  • Experience of building and delivering/overseeing a compliance monitoring programme.
  • Experience of regulatory development scanning and implementation
  • Experience of policy and procedure drafting
  • Ability to both build out and deliver employee training where necessary
  • Strong organisational skills
  • Excellent verbal and written communication skills and ability to build strong relationships across the JOHCM wider compliance teams, the broader JOHCM business, Perpetual Group and its investment boutiques, external service providers and clients
  • A proactive nature and pragmatic work ethic are key attributes
  • Ability to work to deadlines and work under pressure
  • Analytical, data literate and an interest in and ability to drive automation and smarter ways of working

Equal opportunities statement

At J O Hambro Capital Management (JOHCM), we are committed to fostering a workplace that embraces diversity, equity, and inclusion. We believe that every individual, regardless of their race, gender, sexual orientation, age, religion, disability, or any other characteristic, brings unique perspectives and strengths to our team. We are dedicated to providing equal opportunities for all qualified candidates and creating an environment where everyone feels valued, respected, and empowered to contribute their best work. We actively encourage applications from individuals with diverse backgrounds and experiences, as we strive to build a workforce that reflects the rich tapestry of our global community. Join us in our journey to cultivate an inclusive workplace where talent thrives and where everyone has an equal opportunity to excel and succeed.