Compliance and Risk Officer
Dimensional Fund Advisors
Date: 1 day ago
City: Sydney, New South Wales
Contract type: Full time
Notes To Applicants
The Team
Dimensional’s Compliance and Risk Management Department is charged with the development and oversight of the firm’s compliance internal controls, policies, and procedures, and risk management framework. Our global structure follows the sun, with compliance personnel established at each office to ensure compliance coverage around the clock. We have a consultative approach that embeds compliance and risk management staff within the groups they support, encouraging communication among teams and improving efficiency with real-time guidance. Compliance teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines; and contractual agreements. Team members with Risk in their title work with the business to integrate risk management practices across each department and at an enterprise level.
The Opportunity
As a Compliance and Risk Officer within our Risk & Compliance team, you will be responsible for supporting the team in ensuring that our business operations and procedures comply with regulatory requirements and internal policies, as well as assisting the business on risk-related matters. You will perform a range of duties including assisting in assessing the impacts of regulatory regulations, review of company processes, and managing the development, implementation and monitoring of various processes and policies as they relate to the overarching governance framework. You will be a proactive team member who is an excellent communicator, has a deep interest in understanding the fund management space and a willingness to help the business succeed.
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.
- Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach which includes working 3 days in the office and the choice to work 2 days in the office or remotely, depending on what is best for that work day. This maximizes in person collaboration and interaction while simultaneously providing flexibility. This broad universal approach applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role.
- Resumes and portfolios (when applicable) are required as part of your application. When applying from a mobile device or tablet, you may not be able to attach a resume. If you cannot include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer.
- Here at Dimensional, we strive to be an inclusive workplace for all. Even if you do not match every qualification listed, if you are interested in who we are, what we do, and why we do it, we suggest and encourage you to apply.
- The use of Artificial Intelligence during interviews and skill testing is prohibited, unless Dimensional Fund Advisors has authorized such use.
- If you require reasonable accommodation in completing this application, interviewing, or otherwise participating in the employee selection process, such accommodation is available upon request.
The Team
Dimensional’s Compliance and Risk Management Department is charged with the development and oversight of the firm’s compliance internal controls, policies, and procedures, and risk management framework. Our global structure follows the sun, with compliance personnel established at each office to ensure compliance coverage around the clock. We have a consultative approach that embeds compliance and risk management staff within the groups they support, encouraging communication among teams and improving efficiency with real-time guidance. Compliance teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines; and contractual agreements. Team members with Risk in their title work with the business to integrate risk management practices across each department and at an enterprise level.
The Opportunity
As a Compliance and Risk Officer within our Risk & Compliance team, you will be responsible for supporting the team in ensuring that our business operations and procedures comply with regulatory requirements and internal policies, as well as assisting the business on risk-related matters. You will perform a range of duties including assisting in assessing the impacts of regulatory regulations, review of company processes, and managing the development, implementation and monitoring of various processes and policies as they relate to the overarching governance framework. You will be a proactive team member who is an excellent communicator, has a deep interest in understanding the fund management space and a willingness to help the business succeed.
- Assisting the Risk & Compliance team in reviewing and assessing the effectiveness of company policies and procedures.
- Assisting in the maintenance of risk and compliance registers.
- Assisting with compliance and regulatory deep dives and research.
- Advising on the implementation of internal controls within business processes.
- Keeping up to date with compliance requirements and amendments to regulations, including attending relevant training and updates.
- Assisting the Risk & Compliance team in developing risk management frameworks and strategies.
- Investigating incidents and compliance breaches to determine root cause and preventative actions.
- A completed Bachelor’s Degree in Law or Commerce / Business.
- Experience with an investment manager, audit or financial risk/compliance consulting business.
- Outstanding communication and interpersonal abilities
- Effective research and professional networking skills
- Self-motivated individual who has high standards for accuracy and attention to detail who is capable of rapidly learning key elements of the business, working on multiple projects and meeting deadlines.
- Must work well independently, with local business partners, and as part of a global team.
- Excellent written and verbal communication skills and comfortable presenting to internal and external stakeholders.
- Strong work ethic and ability to demonstrate initiative and personal integrity and act as a fiduciary for the business.
- Ability to balance commercial considerations with reputational and legal/regulatory risk.
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.
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