Senior Compliance Specialist

1 week ago

Melbourne, Victoria, Australia SMC Executive Full time $120,000 - $180,000 per year

This is an exceptional opportunity to join a market leading global investment manager who is renowned for its strong working culture and is widely considered an employer of choice.  They have a large footprint and emerging presence in the Australian market and have exciting plans to build out and launch new product offerings into 2026 and beyond.

Reporting to the Head of Compliance this role will act as a trusted Compliance advisor to the Managed Funds and ETF business stakeholders, leveraging your experience across investment products to provide compliance advice and challenge through:

  • Continually assessing the regulatory requirements for responsible entity/business lines and suggesting courses of action for business leads to make informed decisions, whilst maintaining ongoing challenge on the sufficiency of documented controls.
  • Supporting the Product and ETF Capital Markets functions in relation to product disclosures including target marketing determinations (DDO) and ASX listing requirements etc.
  • Leading the review and maintenance of the Compliance Plan for managed investment schemes.
  • Designing and maintaining policies and procedures to address identified compliance risks and fulfil compliance obligations that are useable for the business to deliver compliant outcomes.
  • Assessing complex incidents and breaches and supporting the business in defining resolution and remediation.
  • Working in collaboration with the Compliance Reporting Team to prepare Compliance reports and attend various steering committees  and management meetings.
  • Providing ongoing compliance training to business stakeholders as required.

Candidate Experience

We are seeking applications from experienced senior compliance professionals with relevant investment management / superannuation industry experience and expertise with particular exposure to managed funds and ETF product preferred.  

You are highly driven and outcome oriented, possessing first class communication and presentation skills and a strong client focus.  Furthermore, your ability to engage, influence and build strong working relationships with senior business stakeholders will be key to your success.

For a more information and a confidential discussion about this opportunity please contact Tim Carmichael at SMC Executive on , otherwise to apply please click on the link below.

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