Senior Compliance and Risk Officer

Job Description:

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 Senior Compliance and Risk Officer reports directly to the Head of Compliance and plays a pivotal role in the evaluation, ongoing development, implementation and maintenance of Dimensional's Compliance and Risk Management Frameworks. Importantly, the position will work closely with the local leadership team to further enhance our culture of compliance with regulatory, fiduciary and legal obligations, industry standards and internal company policy. Collaboration with global compliance and risk counterparts, as well as Australian stakeholders, is paramount to the success of the individual in this role.

The position is based in our Sydney office.

Responsibilities

• 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.
• Identification and analysis of all compliance obligations (existing and new) that impact on Dimensional's operations, and seeking expert legal advice as required.
• Reviewing and sign-off of all promotional material.
• Oversight and responsibility for front office mandate monitoring using Charles Rivers Investment Management System (CRIMS).
• Monitoring regulatory reforms and industry developments, and responding to changes by way of implementing policy, process, and associated employee training.
• Working with the local and global risk team to implement processes under the Enterprise Risk Management Program including coordinating risk assessments and maintaining risk registers.
• Preparation of compliance reports to management, the Compliance Committee and the Board.
• Provision of advice and training on compliance and risk related issues to the firm and its staff.
• Incidents, complaints and breaches management.

Qualifications & Experience Required

• At least five to seven years experience within a financial services industry in compliance or risk related role.
• Incident and breach management experience.
• 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.
• Good working knowledge of AML/CTF regulation, in particular client due diligence and transaction monitoring.
• 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.
• Minimum of Bachelor degree in finance, legal, accounting or a related field and RG146.

Why DFA

• CBD office location with harbour views.
• Hybrid working model for most roles, which permits working 2 days remotely each week. This maximizes in person collaboration and interaction while simultaneously providing flexibility!
• Further flexibility for those days in the office through our core hours policy of 10:00 a.m. to 3:00 p.m., allowing all employees the opportunity to balance work with their personal and family needs.
• 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. The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.