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Fund Investment Risk & Compliance Analyst

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: $75k AUD base

  • $50-100k AUD Equivalent
  • Contract or Temporary

Our client is a boutique Fund Manager seeking a junior risk and compliance employee to join their small team in support of the Head of Risk and Compliance in an initial 6-month contract with the view to go permanent mid-2016.

This role is responsible for providing a compliance and risk service to the business in Australia across all product areas and business lines.

Responsibilities:

  • Identification and control of compliance risks – implement and execute compliance monitoring programs and compliance projects
  • Disseminate updated information on compliance requirements and regulations
  • Assist business with Client Acceptance and Review (AML/CTF) projects and processes
  • Maintain up-to-date documentation of compliance policies and procedure
  • Reporting
  • Risk review and testing
  • Service provider monitoring
  • Liaising with investment managers on investment compliance certifications, licensing and violations
  • Liaising with 3rd party service providers including Custodian & Administrators and Responsible Entities on trust investment compliance risk related issues
  • Assist with breaches and errors and ensure proper reporting, escalation and corrective measures are taken

Business Knowledge/Commercial Acumen:

  • Knowledge of regulatory requirements of anti-money laundering and combating terrorist financing
  • Good knowledge of control concept as well as compliance rules and regulations
  • Detailed knowledge of local regulations and regulatory approach

Competencies:

  • AML/CTF experience
  • Good in both written and spoken English
  • Willingness and ability to learn
  • To be able to work independently
  • A good team player
  • Proactive and ability to work unsupervised
  • Strong organisational skills and deadline driven
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