Compliance Manager

Location: Melbourne CBD, Victoria
Contract Type: Contract
Specialisation: Banking & Financial Services
Salary: AU$130000 - AU$150000 per annum
REF: BBBH224230_1532911517

Our client is a market leading multi-billion dollar fund manager. With an enviable track record in performance and organisational culture, our client continues to go from strength to strength managing money for a range of prominent institutional and high net worth investors.

We are seeking an experienced Compliance Manager to oversee the function for a fixed term twelve month period. Reporting to the Executive this role comes with a high level of autonomy and is therefore very hands on. The role sits within a small team and will work alongside highly motivated and engaged individuals. The culture within the team and wider organisation is one of co-operation, high performance, knowledge sharing and a commitment to the values of the organisation of mutual respect, diversity and inclusion.

You will be responsible for overseeing a range of tasks which include daily, monthly (bi-monthly), quarterly and annual activities, including;

  • Investment compliance - investigate compliance alerts: regular check morning and afternoon. Ad hoc closing of alerts on investment management system
  • Organise risk management meeting and compliance papers
  • Board meetings: prepare and present Compliance report to the Board Meeting and advise the Board of current compliance matters and recommended changes to policies etc.
  • Prepare Board reports on effectiveness of risk controls in conjunction with Risk Owners
  • Supervise monthly and annual client compliance reports
  • Lead the GS007 project on internal controls and the annual audit of the Derivatives Risk Statement
  • Review and update the risk framework, compliance policies and procedures
  • Review and monitor the Responsible Entity
  • Audit the changes made to brokers in the investment management system
  • Quarterly audit on changes made to compliance rules in the investment management system
  • Quarterly audit on proxy voting procedures
  • Supervise quarterly client compliance questionnaires

With an additional range of ad-hoc tasks, including;

  • AML compliance officer / AML assistance with applications / reporting to AUSTRAC;
  • Provide and/or organise training for CI policies/AML/Insider Training etc.;
  • Provide compliance training to new staff members
  • Supervise and review broker due diligence
  • Supervise compliance registers (such as breaches, trade errors, conflicts of interests, gifts);
  • Monitor and audit personal share trading;
  • Client/consultant due diligence meetings and supervise compliance questionnaires;
  • Monitor AFSL compliance;
  • Implement, maintain and manage the Compliance Obligations Matrix - i.e. ensure schedule of actions/reviews is followed;
  • Keep abreast of new legislation and any impact on CI's risk & compliance systems and draft and implement new or update current policies and procedures where necessary and advise the board of the changes
  • Provide risk and compliance advice in projects such as new markets, trading halts, potential insider trading issues
  • Manage audits such as the compliance obligations matrix audit, audit of compliance rules in the investment management system, review/audit of AML Program etc.

We are seeking someone with strong regulatory compliance and AFSL obligations experience gained from a fund manager, bank or superannuation fund. You will bring working knowledge of the Corporations Act, AFSL requirements and ASIC regulatory guides. As a compliance specialist you will have experience in review and interpretation of regulatory change, update internal policies and facilitate compliance training.

In this hands on role, you need to be a confident decision maker, possess sound judgement, have the ability to interact with stakeholders from various levels, demonstrate independence and resourcefulness.

For a confidential discussion please call Ryan Griffin on 86291003