Senior Legal and Compliance Manager


A leading funds management firm is looking for a highly experienced legally qualified compliance person to manage their compliance function

  • Small firm looking for a stand alone compliance person
  • Flexible on salary for the right person
  • Diverse role allowing you to manage an end to end process
The Business
Growing boutique fund manager based in the Sydney CBD with a rich history of success. They need a highly experienced legal and compliance professional to help manage their continuous growth with confidence and finesse.

The Role
Reporting directly into the COO your duties will include:
  • Creating and maintaining policies in line with regulatory guidelines
  • Breach reporting and, risk and compliance monitoring
  • Lead the compliance committee meetings
  • Provide business wide compliance and risk and training and be a go to person for enquiries
  • Work closely with the business in helping them enhance processes to maximise efficiency
  • Manage all risk frameworks and conduct risk assessments and assurances
  • Key person for fund mandate compliance
  • Build a strong risk and compliance culture in the business
  • Be the person to deal with APRA and other regulators
Due to the maturity levels of the businesses risk and compliance frameworks/awareness this role will be crucial to its successful growth in being able to meet its ongoing obligations. As the fund grows so will your team and responsibilities so the potential for advancement is unparalleled compared to the current market.

Skills and Experience
  • 8+ years’ experience in risk and compliance within funds management or investment banking
  • Legal qualifications
  • Ability to work autonomously in a senior capacity
  • Excellent ability to interpret legislation and create policies and procedures from scratch
  • Highly skilled in the explanation of compliance obligations to senior management who aren’t compliance professionals
  • Able to present to a board of directors