Senior Compliance Officer

Our client is a rapidly growing boutique financial services business looking for a Senior Compliance professional to join their Melbourne team.

Job Purpose:

• Management of client compliance oversight.
• On-going review, enhancement and management of the compliance and risk system.
• Assist in preparation of compliance committee, board meeting materials and Corporate Governance.
• Monitoring of regulatory obligations, including License obligations and implementation of regulatory change.
• Review and updating of internal policy and procedures.
• Preparation of client documentation.
• Regular contact with external service providers including fund managers, administrators, custodians, insurers & solicitors.

Experience:

• Minimum 3 years of experience in a compliance function within finance, investment management.
• Knowledge of investment products including debt, equity, derivatives, capital raising structures, managed investment schemes.
• Qualification in compliance, finance and/or investments.

This is a quality opportunity at a growing business that would be well suited to a compliance professional keen to learn and grow their career further.