At a Glance
- Tasks: Lead compliance initiatives and enhance operational efficiency in a dynamic investment management environment.
- Company: Join Dimensional, a global leader in innovative financial solutions.
- Benefits: Enjoy hybrid work, competitive pay, health perks, and career growth opportunities.
- Other info: Inclusive culture with fun social events and comprehensive support programs.
- Why this job: Make a real impact while developing your skills in compliance and risk management.
- Qualifications: 5-7 years in compliance or risk within financial services; strong communication skills required.
Dimensional is a global investment manager and a leader in applying advanced financial science to equity and fixed income investment strategies. For more than 30 years, we have translated research into real-world investment solutions for clients.
The Compliance and Risk Manager reports directly to the Head of Compliance and will provide additional operational capacity to the Compliance team during a period of organizational transition while supporting the implementation of process improvements and automation initiatives. The role is intended to strengthen the organization’s compliance capability, ensure regulatory obligations are met in a timely manner, support business initiatives and reduce reliance on manual processes. This is a 12 month Fixed Term Contract.
Responsibilities
- Reviewing and sign-off of all promotional material.
- Coordinate regulatory lodgements, reporting and statutory obligations to ensure all deadlines are met.
- Review existing compliance processes to identify opportunities for automation and efficiency improvements.
- Design and implement practical workflow improvements to reduce manual administration.
- Assist in implementing technology solutions, workflow tools and automated compliance tracking where appropriate.
- 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.
- Assist with the review of business initiatives, projects and change activities from a compliance perspective.
- Identification and analysis of all compliance obligations (existing and new) that impact on Dimensional’s operations, and seeking expert legal advice as required.
- Oversight and responsibility for front office mandate monitoring using Charles Rivers Investment Management System (CRIMS).
- Assist business with product related requests.
- Monitoring regulatory reforms and industry developments, and responding to changes by way of implementing policy, process, and associated employee training.
Qualifications & Experience Required
- At least five to seven years experience within a financial services industry in compliance or risk related role at a Responsible Entity, Fund Manager or Investment Management business.
- Demonstrated experience in a compliance, risk or regulatory role within financial services.
- Good working knowledge of the regulatory obligations of a Responsible Entity, most notably the relevant obligations contained within the Corporations Act and ASIC Regulatory Guides.
- Experience managing competing priorities in a fast-paced environment.
- 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.
Why DFA
- Hybrid working model for most roles, which permits working 2 days remotely each week.
- Further flexibility for those days in the office through our core hours policy of 10:00 a.m. to 3:00 p.m.
- Great career opportunities, both locally and potentially abroad.
- Subsidized health insurance for individuals and family with several ‘nil-cost’ options available for individuals.
- Access to our health and fitness incentive program.
- Up to 16 weeks of paid primary caregiver leave if you have worked with us for 12 months or more.
- We provide financial and other support for those on a fertility journey, seeking to adopt, expecting a child or with a newborn, or entering menopause.
- Reimbursement for pre-approved study, such as CFA, via our Global Education Assistance Policy as well as access to exam leave.
- Free access to mental health and wellbeing support for you and your family through our Employee Assistance Program.
- Access to life and salary continuance insurance.
- Inclusive and fun social events and activities including Culture Quarters, monthly Take 5 events, run clubs, netball teams and more!
- Training to staff and leadership on sexual harassment, discrimination and the importance of respectful, safe and inclusive workplaces.
Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.
It is the policy of the Company to provide equal opportunity for all employees and applicants.
Compliance & Risk Manager in Sydney employer: Dimensional Fund Advisors
Dimensional is an exceptional employer that fosters a dynamic and inclusive work culture, offering a hybrid working model that promotes flexibility while ensuring collaboration. Employees benefit from comprehensive health insurance, generous leave policies, and robust career development opportunities, making it an ideal place for professionals seeking meaningful growth in the financial services sector.
