Compliance & Risk Manager - 12 Month Contract

Australian Compliance Institute; Sydney; Hybrid; AUD 180,000 - 240,000; Full time

Benefits offered by this job

Hybrid work schedule (2 days remote)

Core hours 10:00–15:00

Career opportunities locally and海外

Subsidised health insurance

Health and fitness incentive program

Paid caregiver leave up to 16 weeks

Education assistance (CFA) and exam-le

Employee assistance program including

Life and salary continuance insurance

Job summary

Dimensional is a global investment manager delivering evidence-based investment solutions. The Compliance and Risk Manager reports to the Head of Compliance and supports regulatory obligations, process improvements, and automation during a period of transition.

This 12-month fixed-term contract focuses on strengthening compliance capabilities, embedding controls, and reducing manual processes across the organization.

Qualifications

• 5–7 years of experience in financial services compliance or risk roles.
• Experience in compliance, risk, or regulatory roles within financial services.
• Knowledge of Corporations Act and ASIC Regulatory Guides.
• Ability to manage competing priorities in a fast-paced environment.
• Excellent communication with senior management, directors and external stakeholders.

Responsibilities

• Reviewing and sign-off of all promotional material.
• Coordinate regulatory lodgements, reporting and statutory obligations.
• Identify opportunities for automation and efficiency improvements in compliance processes.
• Design and implement workflow improvements to reduce manual administration.
• Assist in implementing technology solutions and automated compliance tracking.
• Maintain and test Dimensional's compliance monitoring program and systems.
• Review business initiatives from a compliance perspective.
• Identify and analyze compliance obligations and consult expert legal advice as needed.
• Oversee front office mandate monitoring using CRIMS.
• Assist with product-related requests.

Skills

Regulatory compliance

Stakeholder communication

Education

Bachelor's degree in finance or law

Tools

CRIMS

Job description

Job Description

Dimensional is a global investment manager and a leader in applying advanced financial science to equity and fixed income investment strategies. For more than 30 years, we have translated research into real-world investment solutions for clients.

The Compliance and Risk Manager reports directly to the Head of Compliance and will provide additional operational capacity to the Compliance team during a period of organizational transition while supporting the implementation of process improvements and automation initiatives.

The role is intended to strengthen the organization's compliance capability, ensure regulatory obligations are met in a timely manner, support business initiatives and reduce reliance on manual process.

This is a 12 month Fixed Term Contract

Responsibilities

• Reviewing and sign-off of all promotional material.
• Coordinate regulatory lodgements, reporting and statutory obligations to ensure all deadlines are met.
• Review existing compliance processes to identify opportunities for automation and efficiency improvements.
• Design and implement practical workflow improvements to reduce manual administration.
• Assist in implementing technology solutions, workflow tools and automated compliance tracking where appropriate.
• Ongoing development, implementation and maintenance of Dimensional's compliance monitoring program and compliance monitoring systems, to ensure the practical embedding of compliance within Dimensional's business operations, including testing of compliance measures, documentation of internal controls and maintenance of compliance databases.
• Assist with the review of business initiatives, projects and change activities from a compliance perspective.
• Identification and analysis of all compliance obligations (existing and new) that impact on Dimensional's operations, and seeking expert legal advice as required.
• Oversight and responsibility for front office mandate monitoring using Charles Rivers Investment Management System (CRIMS).
• Assist business with product related requests.
• Monitoring regulatory reforms and industry developments, and responding to changes by way of implementing policy, process, and associated employee training.

Qualifications & Experience Required

• At least five to seven years experience within a financial services industry in compliance or risk related role at a Responsible Entity, Fund Manager or Investment Management business.
• Demonstrated experience in a compliance, risk or regulatory role within financial services.
• Good working knowledge of the regulatory obligations of a Responsible Entity, most notably the relevant obligations contained within the Corporations Act and ASIC Regulatory Guides.
• Experience managing competing priorities in a fast-paced environment.
• Proven experience balancing commercial considerations with reputational and legal risk.
• Exceptional communicator and a natural ability to effectively engage with senior management, directors, clients and other external stakeholders.
• Strong work ethic and ability to demonstrate initiative, personal integrity and act as a mentor to junior members of the team.
• Ambitious self-starter who is capable of rapidly learning key elements of the business, managing multiple projects and meeting deadlines.

Why DFA

• Hybrid working model for most roles, which permits working 2 days remotely each week. This maximizes in person collaboration and interaction while simultaneously providing flexibility!
• Further flexibility for those days in the office through our core hours policy of 10:00 a.m. to 3:00 p.m., allowing all employees the opportunity to balance work with their personal and family needs.
• Great career opportunities, both locally and potentially abroad.
• Subsidized health insurance for individuals and family with several 'nil-cost' options available for individuals.
• Access to our health and fitness incentive program.
• Up to 16 weeks of paid primary caregiver leave if you have worked with us for 12 months or more.
• We provide financial and other support for those on a fertility journey, seeking to adopt, expecting a child or with a newborn, or entering menopause.
• Reimbursement for pre-approved study, such as CFA, via our Global Education Assistance Policy as well as access to exam leave.
• Free access to mental health and wellbeing support for you and your family through our Employee Assistance Program.
• Access to life and salary continuance insurance.
• Inclusive and fun social events and activities including Culture Quarters, monthly Take 5 events, run clubs, netball teams and more!
• Training to staff and leadership on sexual harassment, discrimination and the importance of respectful, safe and inclusive workplaces.

Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.

It is the policy of the Company to provide equal opportunity for all employees and applicants. The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.