AddressLocation: Brisbane, Australia
Company Overview: Join a dynamic team which is a leading investment management firm headquartered in Brisbane, Australia. They specialise in managing funds and products across various jurisdictions, providing innovative investment solutions to our clients. As they continue to expand our global presence, they are seeking a talented Regulatory Affairs and Compliance Specialist to join their team.
Position Overview: We are looking for an experienced Regulatory Affairs and Compliance Specialist who will play a crucial role in ensuring their investment management activities comply with regulatory requirements across multiple jurisdictions. The successful candidate will focus on fund and product marketing compliance, contributing to the growth and success of their business.
Key Responsibilities:
- Regulatory Compliance: Monitor and analyse regulatory developments in the investment management industry across different jurisdictions to ensure compliance with applicable laws and regulations.
- Fund and Product Marketing Compliance: Review and approve marketing materials for funds and investment products, ensuring they adhere to regulatory standards and guidelines.
- Documentation and Reporting: Maintain accurate records of compliance activities, prepare regular reports for internal and external stakeholders, and coordinate with relevant authorities during regulatory inspections.
- Risk Assessment: Conduct risk assessments related to marketing practices and develop strategies to mitigate potential compliance risks.
- Cross-functional Collaboration: Collaborate with internal teams, including legal, marketing, and investment management, to ensure a cohesive and compliant approach to fund and product marketing.
- Training and Awareness: Develop and conduct training programs to enhance awareness of regulatory requirements and Compliance standards among relevant teams.
- Bachelor's degree in Law, Business, Finance, or a related field. Advanced degree or professional certifications in compliance or Regulatory Affairs are a plus.
- Proven experience in Regulatory Affairs and Compliance within the investment management industry, with a focus on fund and product marketing.
- In-depth knowledge of global regulatory frameworks and requirements.
- Strong analytical and problem-solving skills, with attention to detail.
- Excellent communication and interpersonal skills.
