Compliance Officer
Vor 6 Tagen
Compliance & Risk (Banking & Financial Services) Full time Our client is a financial service business (funds/wealth management) going through a transformation and looking for a hands-on and down to earth compliance professional to join their lean team.
Working with the CRO, you will have broad exposure managing the compliance function. Some of the responsibilities will include:
Reviewing Investment Management Agreements (IMAs) and other investment management documentsReviewing product disclosure statements (PDSs), product development related material and marketing materialsOngoing monitoring and review of compliance obligations and risk management frameworksConducting risk and compliance monitoring activitiesMonitoring, managing, and reporting of incidents, breaches, and complaintsMaintaining all compliance registersReviewing, developing, and implementing policies and proceduresKeeping up to date with regulatory and legislative changesServing as subject matter expert and providing compliance advice to the business and answering queriesThe ideal candidate will have:
Circa 3-5 years of compliance and risk experienceBackground in wealth management, funds management and superannuation idealCan-do attitude, down to earth, ability to work in a lean and changing environment and willingness to be hands-onExcellent communication and interpersonal skills, ability to engage with stakeholders at all levelsAbility to think outside the box and solve problemsThis is a great opportunity for someone wanting to be part of a transformation and take ownership. You will be working with senior leaders and gain hands-on exposure.
If you would like to learn more, please send your CV through to Jerin Chowdhury at PX Resources (******) or apply directly via the APPLY button.
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