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Company Overview
As a global investment manager, we help institutions, intermediaries and individuals meet their goals, fulfil their ambitions, and prepare for the future. But as the world changes, so do our clients’ needs. That’s why we have a long history of adapting to suit the times and keeping our focus on what matters most to our clients.
Doing this takes experience and expertise. We bring together people and data to spot the trends that will shape the future. This provides a unique perspective which allows us to always invest with conviction. We are responsible for around $800bn of assets for our clients who trust us to deliver sustainable returns. We remain determined to build future prosperity for them, and for all of society. Today, we have 5,000 people across six continents who focus on doing just this.
We are a global business that’s managed locally. This allows us to always keep our clients’ needs at the heart of everything we do. For over two centuries and more than seven generations we’ve grown and developed our expertise in tandem with our clients’ needs and interests.
* Established in 1961, Schroders in Australia is a wholly owned subsidiary of UK-listed Schroders plc. Based in Sydney, the business manages $41 billion in assets^ for institutional and wholesale clients across Australian equities, fixed income and multi-asset and global equities
^as at 31 December 2019
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Role Overview
Purpose:
Working closely with the Head of Compliance and Risk, the Senior Compliance Analyst is responsible for managing operational requirements of the compliance function for Australia. Working collaboratively with colleagues across all areas including Investment, Distribution, Marketing, Operations, Legal, Finance and HR on regulatory requirements, monitoring compliance and managing any regulatory and reputational risks.
- Duties and Responsibilities
- Oversight and review of compliance with substantial shareholdings monitoring and reporting
- AML client due diligence SME for Australia
- Respond to and prepare client compliance reviews and RFP responses
- Assist with basic daily, monthly, quarterly and yearly monitoring programs and tasks to ensure the compliance framework developed has been adhered to as part of the compliance monitoring programme, e.g. PA dealing, AFS licence conditions compliance, trade management, outsourcing, privacy, etc.
- Prepare monthly compliance reports for clients including completion of monthly compliance sign offs on client portals.
- Participate in thematic compliance monitoring reviews, include trade management and market abuse reviews
- Help the business comply with local and Group policies by responding to questions around interpretation and implementation and investigate alerts (e.g. market abuse monitoring, personal securities dealing).
- RG 146 training - initial assessment of compliance, arranging required courses and tests to fill any gaps and ongoing monitoring of RG146 training obligations.
- Assist rolling out compliance training and monitoring completion of compulsory Group on-line training.
- Participate in local and Group projects, e.g. compliance system upgrades and roll-out of new compliance procedures including training of staff.
- Assisting the Head of Compliance and Risk in the preparation of the Compliance Committee and Governance and Risk Committee packs.
- Administrative tasks such as processing and payment of Compliance related invoices, regulatory notices and lodgements etc.
Experience
- 3-5 years relevant work experience within funds management preferably in Compliance, Operational Risk or Audit.
- Good knowledge of financial securities, including equities, fixed interest and derivatives gained through either tertiary studies or work experience
Knowledge and Skills
- Knowledge of the Australian regulatory regime and regulatory requirements
- Excellent problem solving and analytical skills
- Attention to detail
- Ability to learn on-the-job
- Desire to develop compliance skills and work within the compliance industry
- Ability to prioritise tasks and meet deadlines
- Ability to communicate effectively with staff of all levels
- Ability to work independently and within a team environment
- Excel and word skills to an intermediate level
Education
Tertiary qualifications in Commerce, Economics, Business or Finance
Key Behaviours
- Shows commitment to building and maintaining good working relationships
- Actively listens to ensure understanding of others’ concerns and requirements
- Puts time and effort into developing detailed knowledge
- Displays initiative and a flexible approach to tasks
- Cooperates with colleagues, promoting successful team performance
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