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Compliance Officer

Job Title: Compliance Officer
Contract Type: Permanent
Location: Brisbane
Reference: 2961213
Contact Name: Sarah Kennedy
Contact Email:
Job Published: June 26, 2019 17:31

Job Description

Our client is an innovative investment manager, offering global investment solutions. As a result of their impressive growth and diversification of products, they have a newly created opportunity for a talented Compliance Officer to join their high-performing team. Brisbane City location.
Their business and client base is experiencing considerable growth and an opportunity exists for a suitably qualified individual to help us deliver the high standard of client service for which we they have become known.

Reporting to the Head of Compliance and as a member of the Compliance team, you will be responsible for assisting the Head of Compliance & Governance in maintaining and enhancing the Compliance and Risk Management Systems.  

Key responsibilities will also be:

• Maintenance of Policies, Procedures, Programs and Registers and the annual review cycle
• Quarterly compliance testing and reporting
• Investigation of Incidents / Breaches and drafting breach reports
• Assist in the preparation of Board reporting and Board Pack compilation
• Provide input into the development of training presentations
• Assist in the implementation of updated regulatory guidance from regulators
• Assist with various compliance projects that arise from time to time
• Provide input and feedback for continual improvement of compliance processes
• Liaising with Auditors and providing requested documentation

The successfully appointed professional will have many years of experience within compliance and ideally have worked in financial services and have a keen interest in funds management. You will have the demonstrated confidence to interact with senior stakeholders and with clients in a professional manner, and the ability to communicate effectively delivering to tight deadlines. 
They are a close-knit growing team with a collegiate culture and welcome applications from candidates with related university qualifications, 5-years of compliance experience and a strong work ethic, self-motivation and willingness to grow with the business.

Please contact Sarah Kennedy on 07 3854 3801 / for more information

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