Our client is an established, highly regarded employee-owned Australian Investment Manager They have built a strong reputation for delivering quality investment solutions to institutional clients, advisers and individual investors, with specialist expertise in managing Australian equities.
The Opportunity
This is an excellent entry-level opportunity for a recent graduate or early-career professional looking to build a career in risk and compliance within the financial services sector. Reporting to the Head of Risk and Compliance, you'll play a key role in ensuring regulatory adherence and effective risk management across the business.
This position offers genuine development opportunities, with support for postgraduate study in risk and compliance qualifications for the right candidate.
Key Responsibilities
- Assist in developing, maintaining and implementing the risk management framework, policies and processes
- Develop and maintain risk registers in collaboration with internal teams
- Complete risk and control assessments of key controls
- Conduct audits to assess control application and effectiveness
- Identify, analyse and manage risks associated with asset management
- Conduct regular compliance audits
- Support regulatory compliance projects
- Monitor pre- and post-trade investment mandate compliance
- Daily monitoring of Model Portfolio Guidelines compliance
- Monitor substantial shareholder limits
- Relevant tertiary qualification in Business, Commerce, Finance, Law or relevant
- Understanding of (or strong interest in) risk management in financial services
- Excellent analytical and problem-solving abilities
- Strong attention to detail and high ethical standards
- Effective communication and interpersonal skills
- Ability to work independently and collaboratively
- Well-organised with strong prioritisation skills
- 1-2 years' experience in financial services (not essential for exceptional graduates)
- Interest in pursuing postgraduate qualifications in risk and compliance
- Competitive salary package of $70,000 - $80,000 inclusive of super
- Opportunity to develop expertise in risk and compliance within investment management
- Support for further postgraduate study
- Work with an established, employee-owned Australian fund manager
- Exposure to institutional-grade investment operations