Compliance Manager - Fund Management

Kaizen Recruitment; Melbourne; Sur place; AUD 120 000 - 180 000; Plein temps

Résumé du poste

Kaizen Recruitment is partnering with a growing financial services organisation that provides governance, trustee and compliance solutions to wholesale investment managers across Australia. The Compliance Manager will help maintain and enhance the firm’s compliance framework and provide practical guidance to investment manager clients.

Working with senior leaders and external advisers, you’ll ensure obligations are met in a timely and pragmatic manner.

Qualifications

• Minimum 7 years' experience within financial services compliance.
• Strong knowledge of AFSL obligations and the Australian regulatory environment.
• Experience within funds management, trustee, responsible entity, investment management or related financial services sectors.
• Demonstrated experience managing compliance monitoring and reporting frameworks.
• Strong understanding of risk management, governance and regulatory compliance principles.
• Excellent written and verbal communication skills.
• Proven ability to build strong relationships with clients and senior stakeholders.
• Highly organised with strong attention to detail and the ability to manage competing priorities.
• A pragmatic, commercially minded approach to compliance and problem-solving.

Responsabilités

• Maintain and support the firm's compliance framework, policies and procedures.
• Manage compliance monitoring programs, registers and reporting obligations.
• Support compliance oversight of investment manager and authorised representative clients.
• Review compliance reporting, registers and governance documentation provided by clients.
• Monitor regulatory developments and assist with implementation of regulatory change.
• Support breach reporting, incident management and remediation activities.
• Assist with compliance audits, reviews and regulatory enquiries.
• Prepare compliance reporting for senior management and governance forums.
• Provide practical compliance guidance to internal and external stakeholders.
• Identify opportunities to enhance compliance systems, processes and controls.

Connaissances

Regulatory compliance

AFSL knowledge

Stakeholder engagement

Risk management

Governance

Communication skills

Description du poste

Join a growing financial services organisation providing governance, trustee and compliance solutions to wholesale investment managers across Australia. This is an opportunity to join a respected and expanding business that partners with investment managers, fund operators and professional advisers across a diverse range of investment strategies. Operating in a collaborative environment, you will play a key role in supporting both internal compliance obligations and the compliance requirements of external clients.

Working closely with senior stakeholders, you will help maintain a robust compliance framework while providing practical, commercial and solutions-focused compliance support.

About the Role

As Compliance Manager, you will be responsible for supporting the ongoing management and enhancement of the firm's compliance framework, while providing compliance oversight and guidance to investment manager clients.

This is a broad and hands-on role that combines regulatory compliance, governance, stakeholder engagement and continuous improvement. You will work closely with senior leaders, investment managers and external advisers, ensuring compliance obligations are met in a timely and pragmatic manner.

The role will suit an experienced compliance professional who enjoys autonomy, relationship management and applying regulatory requirements in a commercial environment.

Key Responsibilities

• Maintain and support the firm's compliance framework, policies and procedures.
• Manage compliance monitoring programs, registers and reporting obligations.
• Support compliance oversight of investment manager and authorised representative clients.
• Review compliance reporting, registers and governance documentation provided by clients.
• Monitor regulatory developments and assist with implementation of regulatory change.
• Support breach reporting, incident management and remediation activities.
• Assist with compliance audits, reviews and regulatory enquiries.
• Prepare compliance reporting for senior management and governance forums.
• Provide practical compliance guidance to internal and external stakeholders.
• Identify opportunities to enhance compliance systems, processes and controls.

About the Company

Join a growing financial services organisation providing governance, trustee and compliance solutions to wholesale investment managers across Australia. This is an opportunity to join a respected and expanding business that partners with investment managers, fund operators and professional advisers across a diverse range of investment strategies. Operating in a collaborative environment, you will play a key role in supporting both internal compliance obligations and the compliance requirements of external clients.

Working closely with senior stakeholders, you will help maintain a robust compliance framework while providing practical, commercial and solutions-focused compliance support.

As Compliance Manager, you will be responsible for supporting the ongoing management and enhancement of the firm's compliance framework, while providing compliance oversight and guidance to investment manager clients.

This is a broad and hands-on role that combines regulatory compliance, governance, stakeholder engagement and continuous improvement. You will work closely with senior leaders, investment managers and external advisers, ensuring compliance obligations are met in a timely and pragmatic manner.

The role will suit an experienced compliance professional who enjoys autonomy, relationship management and applying regulatory requirements in a commercial environment.

Key Requirements

• Minimum 7 years' experience within financial services compliance.
• Strong knowledge of AFSL obligations and the Australian regulatory environment.
• Experience within funds management, trustee, responsible entity, investment management or related financial services sectors.
• Demonstrated experience managing compliance monitoring and reporting frameworks.
• Strong understanding of risk management, governance and regulatory compliance principles.
• Excellent written and verbal communication skills.
• Proven ability to build strong relationships with clients and senior stakeholders.
• Highly organised with strong attention to detail and the ability to manage competing priorities.
• A pragmatic, commercially minded approach to compliance and problem-solving.

What's on Offer

• Opportunity to work closely with experienced industry professionals.
• Broad exposure across funds management, governance and regulatory compliance.
• Collaborative and supportive team environment.
• The chance to play a meaningful role within a growing and highly regarded business.