AddressJS Careers is currently sourcing a Risk and Compliance professional to join a leading Investment Management firm on a 6 month Fixed Term Contract.
The role can be based in Brisbane, Sydney, Melbourne or Canberra.
Reporting to the Head of Risk & Compliance, you will have responsibility for managing operational Risk and Compliance across the business, identifying and managing internal and external risk factors to protect the business and clients and fostering a strong risk management culture.
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.
- 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;
- Managing the dispute resolution process;
- Reviewing marketing materials and maintaining template disclaimers;
- Reviewing Product Disclosure Statements and offer documents;
- 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 4 years operational risk, internal audit or compliance experience gained within a funds management environment, 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 - ***********@jscareers.com.au
