National Compliance Manager, Investments
Broad compliance role, reporting to the Head of Compliance, in a global asset manager.
Summary about this job
Compliance & Risk
Company: Taylor Root
Location: Sydney
Work type: Full Time
Salary: $120k - $150k p.a.
Phone: +61-7-3808-3238
Fax: +61-2-7987-7535
E-mail: n\a
Site: n\a
Detail information about job National Compliance Manager, Investments. Terms and conditions vacancy
- Varied compliance role with a heavy advisory element
- Global investments business with a growing, diversified APAC presence
- Close link with Head of Compliance; exposure to senior business stakeholders
The Business
A global asset management business, with a diversified portfolio of investment solutions. Don't expect a typical investment bank environment. Rather, expect to be challenged, to be heard, and to grow. Driven by innovation from every level of the business, this is a place where you will be encouraged to work in your own style.
The Role
Varied, senior position in a lean, tight-knit compliance function. Working closely with Legal, you will advise the business on regulatory challenges, encourage growth, and manage risks. The main elements of your day-to-day are:
- Identifying and overcoming compliance gaps and weaknesses
- Developing policies and procedures
- Managing the monitoring process, taking a hands-on approach where necessary
- Providing business-wide training
- Working with the front line to review marketing materials
- Dealing with external regulators and handling associated reporting activities
The Ideal Candidate
A solutions-driven attitude is absolutely necessary to succeed in this role, as the challenges are numerous and varied. A flexible approach to managing compliance work is essential, as well as a passion for problem-solving. To thrive in this role, you will likely have:
- A background in accounting, compliance or law, with associated qualifications (degree, legal admission, CA, CPA, CFA)
- Solid experience in a financial services environment, ideally with a range of products, and exposure to marketing materials
- An interest or understanding of how managed funds work, and the associated compliance issues
- Excellent communicator and influencer; able to build and maintain relationships with a range of stakeholders
- Experience with, or an interest in, coaching and developing junior staff
- A positive attitude and a good sense of humour (these will likely serve you well)!
What are you waiting for?
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.