Risk & Compliance Manager – Funds Management

Risk & Compliance Manager – Funds Management

July 17, 2020 Banking & Finance Sydney

  • Risk Compliance Manager
  • Investment/Asset Management
  • 12 month fixed term contract

Our client is the leading APAC Investment Manager with an enviable reputation within due to their Infrastructure and Private Equity investments. Having been in operation for over 20+ years you will enjoy the balance of working in a business with both an impressive track record but also an innovative way of approaching future expansion.  The diverse range of investments offered include structured investments, managed funds across a wide range of asset classes. With new requirements in the regulatory compliance function in the region and expected further growth in the organisation and its funds the leadership team requires a Risk & Compliance Manager to work in Sydney

An opportunity exists for a current Compliance Manager preferably with a legal background from the Investment Management/Asset Management industry, to support the COO and Head of the Business in Compliance Management.  Your remit will be responsibility for our client meeting its contractual and regulatory obligations.
You key responsibilities will include:-

  • Manage the compliance requirements for Sydney 
  • Investment compliance on funds including monitoring and maintenance of portfolios
  • Communicate with teams including staff and external stakeholders SFC, ASIC, Lawyers and consultants
  • Monitoring key policies and processes ie personal securities trading,
  • Understand wholesale licenses including Type 1, 4 and 9 HK licenses and professional investor regime
  • Provide compliance advice to the business, Investment team and prepare periodic compliance reporting for the COO, Board and Committees

Key to this position will be your ability to work autonomously and have a reasonable amount of experience to get the compliance function rolling while being supported by senior management
The successful candidate must be law degree qualified, have previous technical experience gained internationally or domestically preferably in the financial services compliance environment. You will also have excellent written and communication skills to be able to handle confidential agreements and have an eye for detail.
Our client will look at candidates who have previously worked in a compliance function within Funds Management/Investment Management/Asset Management. Will look at both local and those with international experience namely Hong Kong. Only those applicants that are a fit for the position will be contacted.
If you would like to find out more about the position, please call James Rennie on +612 8011 4430 or +61 422 660094, for a confidential discussion.


For more information please contact: jrennie@oxygenrecruitment.com.au

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