Senior Risk Associate | Financial Services | Hybrid
The Company
Our client, who are one of the largest ETF issuers globally, with a strong commitment to responsible and impact investing, is seeking an experienced Senior Risk and Compliance Associate to join their team. This firm is dedicated to delivering outstanding financial returns while driving positive environmental, social, and governance outcomes.
The Role
This is a unique opportunity for a compliance and risk professional to join a growing funds management business in Sydney. Reporting to the General Counsel and Head of Compliance, the successful candidate will play a key role in maintaining the firm's compliance framework and risk management processes.
We welcome applications from candidates with experience in some or all of the key responsibilities listed below. Our client is committed to training and supporting the successful candidate to enhance their skills and grow within the firm.
Key Responsibilities- Maintain breaches, incidents, complaints, conflicts, and related party dealings registers.
- Oversee and maintain the restricted list, review personal account trading requests, and conduct quarterly restricted list reviews.
- Ensure ongoing monitoring of key outsourced service providers and report findings.
- Manage policy review schedules and update policies in line with regulatory changes and process improvements.
- Prepare Risk and Compliance Committee (RCC) meeting materials, manage stakeholder input, and track action items.
- Oversee risk reporting obligations and implementation of the Risk Management Framework.
- Lead regulatory reporting processes, including FIRB, AIFMD/SFDR, FINRA/SEC, and AUSTRAC compliance.
- Ensure marketing collateral compliance with relevant regulations.
- Support inbound and outbound KYC processes for investors and financial institutions.
- Manage compliance software, update tasks, monitor actions, and conduct quarterly reviews.
- Oversee compliance training schedules and coordinate online module rollouts.
- Manage contract obligations within the firm's contract management system.
- Develop and maintain a comprehensive compliance and internal controls framework.
- Collaborate with Portfolio Operations and Responsible Investment teams to establish risk management reporting and escalation processes.
- Conduct annual compliance reporting and ensure AML program compliance.
- Provide compliance support to affiliated investment management entities as required.
Key Attributes
The ideal candidate will possess the following skills and experience:
- Minimum of 3 years of professional experience, across investment operations, operational risk, compliance or audit & assurance.
- Must have experience in funds or investment management. ETFs experience is a bonus.
- Highly organised self-starter with the ability to work autonomously and meet tight deadlines.
- Strong attention to detail and ability to manage complex regulatory requirements.
- Excellent written and verbal communication skills.
- Proficiency in Microsoft Office Suite.
- Collaborative team player who enjoys working in a professional corporate environment.
- Confident, proactive, and professional demeanor.
- Alignment with the firm's values and commitment to responsible investing.
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