Senior Compliance and Risk Officer Senior Compliance and Risk Officer …

Dimensional Fund Advisors Ltd
in London, England, United Kingdom
Permanent, Full time
Last application, 27 May 20
Competitive
Dimensional Fund Advisors Ltd
in London, England, United Kingdom
Permanent, Full time
Last application, 27 May 20
Competitive
DFA is looking to build our compliance and risk capability in Sydney and are seeking a senior individual to work closely with the local Head of Compliance, Executive team and global compliance counterparts. This role would be ideal for professionals currently working in Europe but seeking a return to Australia.

The Senior Compliance and Risk Officer reports directly to the Head of Compliance and plays a pivotal role in the evaluation, ongoing development, implementation and maintenance of Dimensional’s Compliance and Risk Management Frameworks. Importantly, the position will work closely with the local leadership team to further enhance our culture of compliance with regulatory, fiduciary and legal obligations, industry standards and internal company policy. Collaboration with global compliance and risk counterparts, as well as Australian stakeholders, is paramount to the success of the individual in this role.

The position is based in our Sydney office.

Responsibilities:

  • Ongoing development, implementation and maintenance of Dimensional’s compliance monitoring program and compliance monitoring systems, to ensure the practical embedding of compliance within Dimensional’s business operations, including testing of compliance measures, documentation of internal controls and maintenance of compliance databases.
  • Identification and analysis of all compliance obligations (existing and new) that impact on Dimensional’s operations, and seeking expert legal advice as required.
  • Reviewing and sign-off of all promotional material.
  • Oversight and responsibility for front office mandate monitoring using Charles Rivers Investment Management System (CRIMS).
  • Monitoring regulatory reforms and industry developments, and responding to changes by way of implementing policy, process, and associated employee training.
  • Working with the local and global risk team to implement processes under the Enterprise Risk Management Program including coordinating risk assessments and maintaining risk registers.
  • Preparation of compliance reports to management, the Compliance Committee and the Board.
  • Liaising with compliance auditors in relation to their annual audits of the Compliance Plan and GS007 Report on Internal Controls.
  • Provision of advice and training on compliance and risk related issues to the firm and its staff.
  • Incidents, complaints and breaches management.

Qualifications & Experience Required  

  • Extensive experience within a financial services firm in a senior regulatory and compliance related role having specific knowledge and experience across matters contained within Chapter 5C (Managed Investment Schemes) and Chapter 7 (Financial Services and Markets) of the Corporations Act.
  • Risk management experience and front office portfolio compliance experience highly valued.
  • Good working knowledge of the legal and regulatory obligations of a Responsible Entity, most notably the relevant obligations contained within the Corporations Act and ASIC Regulatory Guides.
  • Working knowledge of Australian Standard AS3806 and AS/NZS ISO 31000 and/or AS/NZS 4360.
  • Highly developed technical skills and prior exposure to portfolio compliance monitoring systems ideally CRIMS.
  • Proven experience balancing commercial considerations with reputational and legal risk.
  • Exceptional communicator and a natural ability to effectively engage with senior management, directors, clients and other external stakeholders. 
  • Strong work ethic and ability to demonstrate initiative, personal integrity and act as a mentor to junior members of the team.
  • Ambitious self-starter who is capable of rapidly learning key elements of the business, managing multiple projects and meeting deadlines.
  • Minimum of Bachelor degree in finance, legal, accounting or a related field.

 

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