Overview
Do you enjoy making sure correct procedures are followed? Can you work both on your own and also with other teams? Do you like working on varied topics? Fisher Investments Australasia (FIA) is a subsidiary of Fisher Investments, which is a privately held multi-billion dollar global investment firm in the United States. Join us in our mission to put our clients first and better the investment universe!
The Opportunity:
FIA is looking for a Compliance Analyst to join our Compliance team based in Sydney, Australia. The Compliance Analyst will report to and assist the FIA Chief Compliance Officer to oversee and ensure FIA and its employees operate within and comply with applicable regulations, licence authorisations and policies.
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The Analyst will be part of a small and collaborative team which prides itself in producing high-quality work and helping the business to practically understand the regulatory environment we are operating within.
The Day-to-Day:
- Completing daily, quarterly, and ad hoc compliance monitoring tasks, including AML/CTF transaction monitoring, resolving alerts, gift request approvals, etc.
- Resolving AML/CTF queries from the business
- Reviewing marketing material
- Keeping the Incident and Breach Register up-to-date and following up on incidents.
- Resolving simple, general queries from the business
- Assist in ensuring procedures are kept up-to-date for any changes in regulation / legislation / process
- Assist in preparing the quarterly compliance reports to the board
- Aid with regulatory reporting and filings
- Assist with auditor's request for information as directed by the FIA Chief Compliance Officer
- Perform compliance and risk monitoring and testing in accordance with the Compliance Monitoring Plan and Firm Risk framework, as these are developed
- Promote a positive compliance culture and awareness by assisting with the development and roll out of appropriate and tailored training for staff
- Perform ad-hoc compliance tasks as directed by the FIA Chief Compliance Officer
Your Qualifications:
- Bachelor degree with minimum of 2 years of experience in a Compliance role within a regulated financial services firm
- An AML/CTF background would be desirable
- Experienced in reading, understanding and summarising in simple language lengthy regulatory publications
- Ability to educate the first line departments on regulatory matters and to handle challenges from individuals in the business
- Strong attention to detail and ability to work in a fast-paced environment
- Working with a strict deadline
- A working knowledge of the general regulatory framework for Australian financial services licensees would be preferred
- An understanding of discretionary portfolio management, asset management, financial advice and regulatory requirements in Australia would be preferred
Why Fisher Investments Australasia:
At Fisher, we work for a bigger purpose: bettering the investment universe by ALWAYS putting clients' interests first. We provide clients something different through unmatched service, continuous education and unique perspectives on investing.
The next stage of Fisher's growth will be driven by the expansion of FIA's Private Client Group into Australia. You will be at the frontier of this expansion. You will join FIA's workforce and an inclusive culture where diverse perspectives are valued. You will be trained, developed, offered exceptional benefits and given an opportunity to build a lifelong career. If this sounds appealing, apply now to join us in our mission to Better the Investment Universe.
Benefits:
- 100% paid premiums for our top-tier supplemental healthcare plan (includes medical, dental, vision) for employees and their qualified dependents
- Super contributions at the applicable superannuation guarantee percentage specified in superannuation legislation up to the maximum superannuation contribution base
- 20 days of annual leave, in addition to 10 paid holidays
- Employee Assistance Program and other emotional wellbeing services
- $10,000 fertility, hormonal health and family-forming benefit
- A collaborative working environment that practises ongoing training, educational support and employee appreciation events
Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.
FISHER INVESTMENTS AUSTRALIA IS AN EQUAL OPPORTUNITY EMPLOYER
Fisher Investments Australia® is a trademark of Fisher Investments Australasia Pty Ltd (ABN 86 159 670 667, AFSL 433312).