Back / Middle Office Operations

Head of Compliance – Asset Management


Over $100,000



Job Type


Job Ref

Date Posted

Thu, 31st May 2018

Head of Compliance role reporting directly to the CRO
Be involved in the strategic direction of the Risk and Compliance division
Fully flexible working model
A large fund are searching for a Head of Compliance to lead the development, implementation and management of the companies framework and function.

A large fund are searching for an experienced Head of Compliance to lead a team in the development, implementation and management of the companies compliance risk function and framework.  The role is a key part of the businesses strategic plan and will have responsibility for designing, enhancing and maintaining the enterprise compliance framework, ensuring the business is regulatory compliant and upskilling team members.

This role will be a key bridge between compliance and legal, ensuring that the business is adhering to its external and internal obligations.  The ideal candidate will have an understanding of legal practices and experience in compliance at an investment bank or asset manager with a good grasp of the regulatory change environment and landscape.


  • Design the Enterprise Compliance Framework
  • Implement procedures ensuring conformity with legal, regulatory and internal policy requirements
  • Enhance and maintain the compliance framework
  • Provide proactive support, advice and assurance to the business with regards to interpreting compliance requirements for new regulatory requirement, emerging risks, new services and products
  • Provide advice and oversight for products including legal review
  • Responsibility for development and preparation of compliance reporting to the CRO

You will have:

  • Excellent stakeholder and senior leadership management ability
  • Ability to communicate complex legal requirements effectively and clearly
  • Knowledge of both domestic and international regulatory environment
  • Understanding of Mifid II, Dodd-Frank, EMIR, CRS, FATCA
  • Knowledge of OTC Derivatives reform and comprehensive knowledge of AML/CTF, sanctions, obligations register, compliance surveys and delegations framework

Your experience:

  • 10 years plus of experience with significant part of that being in implementing and solving compliance issues
  • Experience working in a Compliance function and/or Operational Risk within funds management or Investment banking

MARS Risk and Compliance are currently mandated on this search and welcome all applicants for a confidential career discussion for this role or any other suitable compliance positions that we are currently working on.

To be eligible for this role you will need full working rights for Australia. 

Please send your CV to arrange an initial conversation.

Job Application