Funds Compliance Manager & Governance Lead

Kaizen Recruitment; Melbourne; On-site; AUD 120,000 - 180,000; Full time

Job summary

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.

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.

Skills

Regulatory compliance

AFSL knowledge

Stakeholder engagement

Risk management

Governance

Communication skills

Job description

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.