Compliance and Risk Manager

G2 Legal are working with a leading international investment management firm, who are in growth phase and backed by first-class technology and resources. They have a sterling opportunity for a Compliance lead, with risk oversight.

Reporting directly into C-Suite, you will be the point-of-contact for the business's compliance and risk function, embedding the compliance framework, policies, and procedures. With the risk frameworks already in place, you will oversee the risk function. This autonomous and 'hands on' role has a broad scope so will keep you challenged, whilst presenting you with an abundance of career growth opportunities and a lucrative salary package. Reporting directly into C Suite and working in collaboration with the team’s Lawyers, you will ensure that the Group’s business activities comply with all applicable laws, regulations and standards and the Group’s policies and procedures, whilst engaging with key stakeholders to proactively communicate and manage this appropriately.

As the successful candidate, you will be a highly regarded compliance specialist or Lawyer who can combine deep compliance knowledge related to fund management, whilst being commercially minded in your approach. This role will offer you autonomy in the role and you will have the freedom to run the compliance function, with a compliance assistant to assist you. Any exposure to trade compliance will be highly regarded, as you will ensure investment restrictions are monitored, including liaising with the trading and portfolio management teams in relation to trade compliance. A detailed job description can be provided to you.

Your role will include, but not be limited to:

  • Providing ad hoc advice on a wide variety of issues impacting the business in Australia, New Zealand and Asia.
  • Being the compliance lead on projects and processes impacting the business including regulatory projects
  • Monitoring compliance with internal policies, external regulation and legislation including attending due diligence meetings.
  • Risk function oversight.
  • Assist with regulatory filings including substantial shareholder reviews, FIRB applications and other filings across Australia and Asia Pacific.
  • Ensuring investment restrictions are monitored, including liaising with the trading and portfolio management teams in relation to trade compliance.
  • Assisting in the implementation of risk management within the business including risk incident and breach reporting to stakeholders.
  • Assist with the implementation of internal controls.
  • Review of marketing documentation including RFP’s and ESG reporting
  • Assisting with transaction support and documentation, including liaising with regulators, brokers.
  • Policy drafting and implementation.
  • Provide training to the office and monitor legislation and regulatory changes.
  • Assisting in maintaining risk and compliance registers.
  • Liaising with offshore legal, compliance and risk colleagues on a variety of issues affecting the Australian and potentially the global business.

  • 6+ years (this is a guide only) experience in a compliance and / or legal focussed role
  • A thorough understanding of Australian regulations and guidelines
  • Bachelor of Laws is preferred
  • Compliance experience within a fund manager will be highly regarded, please highlight this on your application
  • Experience working within a highly regulated environment is a pre-requisite for this opportunities
You will be working within a nimble team on a range of challenging and exciting matters in a down-to-earth commercial environment. You will enjoy a casual and flexible working environment with stunning offices based in Sydney CBD. This is an excellent role if you are looking for a well-remunerated role + sophisticated bonus in a successful global business, and a collegiate team. The business has remarkable staff retention, which is a testament to its strong culture and staff recognition. 

Please contact Rachelle Hayes for a confidential discussion on (02) 88155805 to

More information

For more information about this role and to apply, please contact Rachelle Hayes at G2 Legal on 02 8815 5800 or forward an up to date copy of your CV.

PQE, years of experience and salary levels are shown purely as a guide. We will consider applications from candidates that can demonstrate the skills or experience required for this role.

Job reference: 11342865

Company Benefits

  • a
    20 days holiday per annum
  • c
    Company Pension Scheme

Apply for Compliance and Risk Manager

Reference: 11342865 | Location: Sydney

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