Compliance Officer

Our client is a financial service business (funds/wealth management) going through a transformation and looking for a hands-on and down to earth compliance professional to join their lean team.

Reporting directly to the CRO, you will have broad exposure managing the compliance function, some of the responsibilities will include:

• Reviewing Investment Management Agreements (IMAs) and other investment management documents
• Reviewing product disclosure statements (PDSs), product development related material and marketing materials
• Ongoing monitoring and review of compliance obligations and risk management frameworks
• Conducting risk and compliance monitoring activities
• Monitoring, managing, and reporting of incidents, breaches, and complaints, maintaining all registers
• Reviewing, developing, and implementing policies and procedures
• Keeping up to date with regulatory and legislative changes
• Serving as subject matter expert and providing compliance advice to the business and answering queries

The ideal candidate will have:

• Circa 3-5 years of compliance and risk experience
• Background in wealth management, funds management and superannuation ideal
• Can-do attitude, down to earth, ability to work in a lean environment and willingness to be hands on
• Excellent communication and interpersonal skills, ability to engage with stakeholders at all levels
• Ability to think outside the box and solve problems

This is a great opportunity for someone wanting to be part of a transformation and take ownership, you will be working with senior leaders and gain hands-on exposure.

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