Compliance Officer - Investor Services

Perigon Group; Sydney; On-site; AUD 90,000 - 100,000; Full time

Job summary

Join a high-growth investment firm as a Compliance Officer in a permanent role. This position offers an exciting opportunity to work within a tenured investor services team, focusing on ASIC compliance and ensuring adherence to regulatory standards. The ideal candidate will possess a strong background in KYC/AML and demonstrate exceptional organizational and communication skills. This role is perfect for those looking to advance their career in compliance while contributing to a reputable advisory and investment house. Enjoy a competitive remuneration package and the chance to work in a dynamic, collaborative environment in the heart of the city.

Qualifications

• Proven experience in compliance from the financial institutions sector.
• Strong education background and proven skill in producing quality work outcomes.

Responsibilities

• Manage ASIC compliance for a large portfolio of companies.
• Collate & distribute investor documents for each deal.

Skills

KYC / AML

ASIC compliance

Organizational skills

Communication skills

Client service skills

Education

Bachelor's degree in Finance or related field

Tools

Compliance and Risk Frameworks

Job description

2 weeks ago Be among the first 25 applicants

Direct message the job poster from Perigon Group

Senior Manager - Financial Institutions at Perigon Group

An excellent opportunity to join a tenured investor services team as the Compliance Officer, permanent appointment.

• High Growth Investment Firm
• City Offices - 5 Days Onsite
• Strong Rem. and Ben. package

We are proud to partner with a high-growth and reputable Advisory & Investment house which is skilled in originating and managing investments in property, financial services, and private equity on behalf of its investors.

They have an interesting career opportunity to join their tenured Investor Services team in a Compliance Officer, permanent capacity.

The role will suit a candidate with excellent ASIC and compliance experience, strong education background and proven skill in producing quality work outcomes, and strong collaboration amongst peers.

Job Responsibilities:

• Organisation of investor documents: collate & distribute to clients for each deal
• Manage ASIC compliance for a large portfolio of companies, both proactively and reactively, including drafting ASIC forms, resolutions and lodging documents / notifications with ASIC and other Government bodies
• Preparing, co-ordinating and processing ASIC annual company statements and solvency statements
• Dealing with company changes, such as officer changes, share transfers, company address and name changes, and company incorporations and de-registrations, including preparing the required resolutions and ASIC forms
• Lodging accounts with ASIC
• Maintaining databases and other tracking tools as required; update client details and add in deal data such as quarterly reports and deal descriptions
• Participation in a variety of team projects

This role is the perfect career opportunity for an ambitious compliance specialist who seeks to grow their exposure across investor services.

5 days onsite, corporate offices located in the city centre.

What you will need:

• Experience across KYC / AML, coupled with reporting to regulatory bodies
• Proven experience in compliance from the financial institutions sector
• Experience working with Compliance and Risk Frameworks which meet legislative and regulatory standards
• Outstanding verbal and written communication skills
• The ability to work both autonomously and as a member of a team
• Excellent organisational skills with the ability to prioritise work and meet deadlines
• Excellent customer/client service skills, preferably with experience working in a client facing role

To be considered for this opportunity, please apply via the link below to Perigon Group.

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing and Finance

• Industries

  Investment Management, Funds and Trusts, and Banking

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