Senior Risk and Compliance Manager
The Company
Fast growing Australian Private Equity firm with portfolio companies in a wide range of industries with an ESG focus. The firm is built on hiring the best of the best, with staff members coming from top-tier investment banks, law firms and other well-known fund managers.Tenure across the business is excellent.
The Role
This is a unique role that covers compliance, risk, AML as well as ESG. You will not only manage risk and compliance from a group level, but you will also get involved in the portfolio businesses looking to advise on risk appetite but also sustainability.
Responsibilities:
- Maintain registers for breaches, incidents, complaints, conflicts, and related party dealings.
- Manage the restricted list, reviewing personal account trading requests and conducting quarterly review meetings.
- Oversee outsourced service providers, coordinating with account owners and reporting outcomes.
- Regularly update policies and procedures, aligning them with regulatory changes and process improvements.
- Prepare and coordinate for RCC meetings, managing checklists, stakeholder input, action items, and minutes.
- Lead risk reporting and quarterly reviews within the Risk Management Framework, with semi-annual reviews with key risk owners.
- Ensure compliance with regulatory reporting and marketing standards, including oversight of regulatory projects.
- Support KYC processes, including for investors, lenders, and banks.
- Manage compliance software, updating tasks, monitoring actions, and rolling out checklists quarterly.
- Oversee compliance training schedules, contract management, and development of compliance frameworks.
- Minimum 5 years' experience within a broad compliance and risk role within financial services (funds management experience is a plus)
- Stakeholder management experience and ability to build a positive risk culture across the organization.
- Positive attitude with a keenness to learn and be part of a collaborative team.
- Work with portfolio businesses to ensure sustainability standards and an appropriate risk appetite.
- Exposure to a variety of special projects to extend your skill set.
- Brilliant career prospects and a real chance to reach your full potential.
- A flexible workplace where work-life balance is actively promoted.
If interested, please apply to this advert, contact me on 02 9240 0410 or reach out via email at: chantelle.dean@roberthalf.com.au
Robert Half Ltd is committed to equal opportunity and we value diversity at our company. We do not discriminate on the basis of categories protected under local law.
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