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Privately owned asset manager with Senior Compliance role in the Legal and Compliance Dept Your new company
This company are a very well respected, global privately owned asset manager with a boutique presence in Sydney. Your new role
Senior Compliance Manager to join a high performing Legal, Compliance and Risk team of 6. You will report to the Chief Operating Officer and Head of Legal and Compliance. This is a varied role in which you will provide compliance and risk advice across entities located in Australia, Hong Kong and be involved in cutting edge global compliance issues affecting the wider group. Some of your responsibilities will include:
What you'll need to succeed
- Providing risk and compliance advice on a wide variety of issues impacting the business in Australia, New Zealand and Asia.
- Being the compliance lead on projects and processes impacting the business including regulatory projects
- Monitoring compliance with internal policies, external regulation and legislation including attending due diligence meetings.
- Assist with regulatory filings including substantial shareholder reports, and other filings across Australia and Asia Pacific.
- Ensuring investment restrictions are monitored, including liaising with the trading and portfolio management teams in relation to trade compliance.
- Assisting in the implementation of risk management within the business including risk incident and breach reporting to stakeholders.
- Assist with the implementation of internal control audits and conduct reviews including the GS007 and thematic reviews.
- Review of marketing documentation including presentations and ESG reporting
- Assisting with transaction support and documentation, including liaising with regulators, brokers, and external stakeholders such as the Responsible Entity.
- Policy drafting and implementation.
- Provide training to the office and monitor legislation and regulatory changes.
- Liaise with offshore legal, compliance and risk colleagues on a variety of issues affecting the Australian and potentially the global business.
What you'll get in return
- Tertiary qualifications in a relevant discipline e.g. Commerce, law, accounting or similar
- At least 7 years of legal, compliance, and/or risk experience gain within the asset management or financial services industry
- Self-Starter with the ability to be flexible, nimble and versatile as it's a varied role
- Strong stakeholder engagement
Exciting permanent opportunity at a specialised Asset Manager that have offices around the world. Report into the COO and Head of Legal and Compliance and work in a small team with compliance and legal professionals. What you need to do now
Please apply now or for a confidential discussion, contact Philip Lewis on 02 8226 9752 or email your CV to email@example.com. LHS 297508