Senior Compliance and Risk Officer (Finance)

TL;DR

Senior Compliance and Risk Officer (Finance): Implementing and maintaining compliance and risk management frameworks for a global investment manager with an accent on regulatory lodgments and fiduciary obligations. Focus on monitoring regulatory reforms, managing breaches, and ensuring alignment with ASIC Regulatory Guides.

Location: Sydney (Hybrid - 2 days remote per week)

Company

Dimensional is a global investment manager that applies advanced financial science to equity and fixed income investment strategies.

What you will do

• Coordinate regulatory lodgments, reporting, and statutory obligations to ensure all deadlines are met.
• Develop and maintain compliance monitoring programs and internal control systems.
• Review and sign off on promotional materials and Target Market Determinations (TMDs).
• Oversee front office mandate monitoring using the Charles Rivers Investment Management System (CRIMS).
• Identify and analyze new and existing compliance obligations, seeking legal advice as required.
• Prepare compliance reports for management, the Compliance Committee, and the Board.

Requirements

• 5-7 years of experience in compliance or risk within a Responsible Entity, Fund Manager, or Investment Management business.
• Strong working knowledge of the Corporations Act and ASIC Regulatory Guides.
• Proven ability to balance commercial considerations with reputational and legal risk.
• Exceptional communication skills for engaging with senior management, directors, and external stakeholders.

Culture & Benefits

• Hybrid work model allowing 2 days of remote work per week.
• Core hours policy (10:00 a.m. to 3:00 p.m.) to support work-life balance.
• Subsidized health insurance and a health and fitness incentive program.
• Up to 16 weeks of paid primary caregiver leave.
• Financial support for fertility journeys, adoption, and menopause.
• Reimbursement for pre-approved study, such as CFA, via the Global Education Assistance Policy.