Risk & Compliance Officer - Investment Management (DARWIN BASED)

5 days ago

Darwin, Northern Territory, Australia JS Careers Full time $90,000 - $120,000 per year

JS Careers is currently sourcing a Risk and Compliance Officer to join a leading investment management firm.

The role will be based in Darwin.

Reporting directly to the Head of Risk & Compliance, you will assist with managing operational risk, compliance and internal audit across the business, identifying and managing internal and external risk factors to protect the business and clients and fostering a strong risk management culture.

Our client is open to candidates coming from a Risk, Compliance and/or Internal Audit background.

Key Responsibilities:

  • Play a key role in implementing risk mitigation strategies for critical risks and for monitoring these risks.
  • Facilitate group-wide risk and control and self assessments.
  • Assist in the development of risk management policies, practices and standards for implementation across the group.
  • Assisting with periodic reporting to the Audit and Risk, and Compliance Committees and the Board;
  • Maintaining all compliance-related registers;
  • Monitoring and reviewing external providers' performance against their service level agreements;
  • Liaison with the outsourced internal audit provider;
  • Provide support to facilitate AML/CTF client on-boarding;
  • Ongoing monitoring and reporting of AML/CTF compliance alerts, suspicious matters and any high risk clients.

Suitable candidate will possess:

  • Relevant tertiary qualifications in Finance, Commerce or Business, CA or CFA qualification would be beneficial.
  • Minimum 2 years operational risk, internal audit or compliance experience gained within a financial services firm, or from professional services firms.
  • Understanding of investment management, financial instruments and structures and investment risks.
  • Understanding of AML/CTF risks, processes and procedures.
  • Strong risk analysis capability.
  • Enthusiastic and adaptable to change
  • Ability to build and maintain relationships group-wide.
  • Excellent written and verbal communication skills

For further information, or to apply for this position please contact Henry Smith at JS Careers -

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