Compliance Manager

  • Compliance and Risk Manager
  • Leading Investment Company 
  • In-House – Sydney 

Client Details

An excellent opportunity has arisen for a compliance manager to join a global investment company as part of their in-house legal and compliance team. The role will be reporting into the GC and COO and is responsible for identifying and managing  its risk exposure by ensuring that the systems and controls which exist are effective and relevant in order to protect the company from both internal and external risk factors. It will entail providing support to the firm by conducting the allocated responsibilities in an accurate and timely manner and encouraging a culture of compliance and ethical standards.


Key Responsibilities;
Maintaining compliance and verifying the compliance framework applicable to the organisation and its products, including: 

  • Overseeing the maintenance and enhancement of policies and procedures to ensure compliance with the company’s Australian financial services licence conditions and relevant Australian financial services law, as well as other licensing requirements across Australia and the US, as relevant.
  • Conducting the compliance plan review.
  • Providing support with regulatory, audit and similar inspections.
  • Overseeing the maintenance of the incidents, breaches and other compliance registers.
  • Advising the business in relation to compliance requirements and providing compliance training to drive and encourage an effective compliance culture.
  • Coordinating the timely and accurate completion of the formal risk & compliance monitoring program and controls testing framework, including reporting and escalation of findings.
  • Regular reporting to senior management, the organisations risk and compliance committee and the board of directors in relation to relevant compliance matters.
  • Assisting with the preparation of board, and committee papers on risk and compliance related matters.
  • Working closely with the Head of Legal and Compliance to monitor and report on compliance with client mandate obligations, pre-and post-trade compliance and client reporting obligations.


Key Requirements;

  • Understanding of financial services and licence obligations in Australia
  • Proven knowledge of investment and funds management industry practices
  • Strong and broad  understanding of compliance and risk management practices and frameworks
  • Ability to deliver advice to a range of internal and external stakeholders/clients
  • Excellent communication and organisational skills 
  • A positive and pro-active approach 
  • Strong influencing skills and the ability to work as a team.

Job Offer

In return the role offers variety and the chance to join a fast paced growth orientated environment with a competitive remuneration package. 


Contact details

To apply for this position, please click the 'Apply Now' button below. For a confidential discussion, please contact Suzie Large on 0434 294 665.