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Compliance Officer

Kaizen Recruitment

Job Description

Directly support a reputed fund manager to enhance frameworks, assist regulatory changes & support the team.

Our client is an Australian fund manager who has been undergoing a large growth phase. They are in search of a dynamic Compliance Officer to take the next step in their career with a well-established, supportive, and high performing organisation.

You will be supporting the General Manager, Legal and other senior stakeholders to ensure that the team works in accordance with the requirements of laws and regulations. In this versatile role, you will be liaising with multiple stakeholders and covering a range of responsibilities including funds management compliance, AML/CTF, complaints, incidents, breaches and reporting.

Key Accountabilities:
  • Improve the compliance systems and procedures to adapt according to the rules and regulations set by ASIC, AFSL, ASX Listing Rules, and Corporations Act Regulations as well as other relevant laws and requirements;
  • Monitoring changes in regulations and assisting in the maintenance of the risk and compliance frameworks;
  • Operate as deputy AML reporting officer and support with Anti-Money Laundering legal obligations;
  • Assist in any other ad-hoc compliance-related projects or requests;
  • Spearhead the learning and development of all team members to ensure that risk and compliance practices are consistent across the organisation;
  • Create routine reports for the Audit and Risk Committiees;
  • Coordinate with external auditors regarding internal system audit planning; AND
  • Handle investigations and complaints related to non-compliance and report to relevant parties as needed.
Technical Skills & Qualifications required include:
  • 3+ years experience in a funds management or financial services compliance role;
  • Highly developed understanding of the Australian and international funds management industry and investment market;
  • Strong understanding of compliance and risk structures in a funds management environment;
  • Exceptional written and verbal communication and stakeholder management skills; AND
  • Highly organised, collaborative team player with excellent attention to detail.
This is a truly exciting and unique opportunity for a developing compliance professional to join a growing funds management organisation, which provides genuine long term career development opportunities.

If you are interested in learning more about this position, please contact Amanda Chisholm on 0412 123 726 at Kaizen Recruitment or apply via the attached link.
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