Compliance & Risk Manager - 12 Month Contract
Core
Ensure regulatory obligations are met, review promotional materials, and implement process improvements to reduce manual administration in an investment management firm.
Role type
Compliance & Risk Manager
Builds
Compliance monitoring programs, automated compliance tracking systems, and policy updates for investment strategies.
Domain
Financial Services / Investment Management
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory knowledge (Corporations Act, ASIC RG), process automation, workflow design, mandate monitoring, legal risk balancing, stakeholder engagement
Preferred skills
Mentorship, initiative, rapid learning, project management
Technologies
Charles Rivers Investment Management System (CRIMS)
Responsibilities
Review and sign-off promotional materials; coordinate regulatory lodgements and reporting; identify opportunities for process automation; implement workflow improvements; maintain compliance monitoring systems and internal controls; monitor regulatory reforms and implement policy changes; oversee front office mandate monitoring.
Seniority
Mid-Senior, hands-on IC