Compliance Manager-product, Distribution & Marketing

The Company

Founded over 20 years ago, our client is a globally recognised investment company owned by the Queensland Government. From humble beginnings, they have now grown into a leading long-term specialist manager in alternatives with a focus on infrastructure, real estate and private capital. They also specialise in liquid market solutions, providing multi-asset portfolios, private debt, liquid alternatives, active fixed interest and tailored overlays. Delivering to over 115 like-minded institutional investors in Australia and internationally with an excellent reputation in the market. Due to some exciting growth they are now looking to take on a Compliance Manager in their Legal, Regulatory Affairs and Compliance Division.

The Opportunity

Reporting into the Head of Regulatory Affairs and Compliance, you will be responsible for overseeing and managing regulatory and compliance risks, including providing compliance oversight and advice in relation to the companies products, distribution and marketing activities.

You will be expected to bring your broad experience of managing regulatory and compliance risks to further strengthen their existing regulatory and compliance frameworks and practices.

The primary objectives of the role are to:

Manage and lead the Product, Distribution and Marketing Compliance team. This team is the compliance function for the company’s marketing and product-related activities and is responsible for providing second-line oversight and advice in relation to the businesses international distribution-related activities.

Manage the regulatory risks associated with product, distribution and marketing activities (including providing commercial and effective advice on marketing documents and permissible marketing in foreign jurisdictions).

Liaise directly with domestic and foreign legal counsel with respect to permissible marketing activities.

Keep abreast of regulations impacting marketing and distribution activities and provide training and advice to the business to inform them on relevant matters.

Develop, design and maintain effective controls, systems and records to ensure that the company’s product, marketing and distribution activities comply with laws and regulations.

Develop effective data analytics and reporting for the RAC team on the company’s Product, Distribution and Marketing compliance activities.

About You

Minimum 7 years’ experience working in a regulatory and/or compliance role within the investment management or broader financial services industry.

Degree qualified (preferably in Law).

A strong understanding of laws, regulations and industry best-practice approaches relating to the international distribution Funds Management industry products.

Strong analytical skills with the ability to identify, analyse and proactively resolve problems that impact QIC’s risk and compliance obligations.

Knowledge of both current and emerging regulations, risk and compliance frameworks and other technical principles relevant to the investment management industry.

The ability to develop collaborative working relationships with others and share knowledge across divisions.

An ability to translate technical legal and regulatory requirements into efficient and easily understood business processes.

Strong training, verbal and written communication skills.

Strong persuasion and influencing capabilities

Who to Contact

For more information please call Georgia Atherton at u&u on 9437 4821, quoting reference number 31597 . Alternatively, to submit an application please click the apply button.

Please submit your resume in Word format only.