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Key Responsibilities
* Establishment and management of funds and fund counterparties.
* Working on offer and other fund documents.
* Attending to contracts review and registration of deeds.
* To conduct credit, bankruptcy and reputation checks.
* Drafting and/or coordinating regular fund updates, reports.
* Reporting to investors, clients, Compliance Committee and the Board.
* To monitor and support internal risk management systems and the management of external service providers.
* Compliance with Australian Financial Services Licence and Australian Credit Licence requirements.
* Management of corporate authorised representative compliance.
* AML/CTF, FATCA, Sanctions and other regulatory compliance.
* Working collaboratively with Group Compliance on compliance related registers, complaints management, regulatory lodgments, policy maintenance/updates and as further required.
* Keep abreast of regulatory changes, industry trends and anticipating areas of focus and attention of regulators and embed those within day-to-day operational activities.
* Active participant in setting up staff know-how sessions.
* Liaising with panel lawyers and external service providers
* Liaising with auditors and attending to the status of audits, findings and recommendations.
* To seek improvements in efficiencies in processes and workflow and to assist with marketing activities, as required.
Key Requirements
* 1-2 years of prior experience in Law within the financial services, funds management, corporate or finance sector.
* Experience in business, accounting, commerce or compliance and risk management is desirable. Financial Services Institute diploma and Industry affiliations would be advantageous.
* Excellent legal review and drafting skills.
* Understanding of the funds management industry, services, clients and competitors.
* Strong business management skills including pro-active client management.
* Strong compliance and risk management ethic with attention to detail in implementing high quality processes to ensure compliance obligations are met and exposure to risk minimized.
* Personal Traits: Business professional, with outstanding reputation and a high level of integrity, excellent attention to detail, proactive and continuous learning mindset, collaboration and teamwork, adaptability and resilience and strong written and verbal communication skills.
* Proficient in office-based software applications as well as organisation specific applications such as Microsoft Office (Word, Excel, PowerPoint, Outlook, etc.), MYOB, Titanium Registry Software, etc.
Seniority level
* Seniority level
Associate
Employment type
* Employment type
Full-time
Job function
* Job function
Legal
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