Fisher Investments logo
Join Fisher's Talent Network

Compliance Officer

Sydney, Australia
Legal Affairs
11371

Share:

Job Description

Overview

Do you have a passion for securities-based compliance? Your experience and passion working within a world of always changing regulations will help provide guidance and direction to the business. You can be a part of Fisher Investments Australia® (FIA), one of the newest groups within our globally diverse and growing privately held investment firm.

 

The Opportunity:

 

As the Compliance Officer for FIA, you will assist our Australia-based entity and employees comply with all applicable rules and regulations. You will help our staff continue to maintain procedures and ensure that their behavior follows our Code of Conduct. Reporting to the Chief Compliance Officer, you will be part of a collaborative Legal and Compliance team, which prides itself in producing high-quality work.

 

The Day-to-Day:

  • Support the CCO with ongoing procedure updates and compliance testing
  • Review advertising, marketing, promotional and training materials, and programs to help ensure compliance with regulations
  • Prepare and participate in the delivering of relevant compliance training
  • Help identify and assess the impact of new or changing Australian regulations on FIA
  • Work with employees regarding compliance issues and concerns
  • Manage new account onboarding, including AML, PEP and sanctions checks
  • Prepare lodgments and notifications with ASIC
  • Help respond to Regulatory Inquiries (ASIC, AUSTRAC)
  • Work with CCO, Legal and Risk on the assessment of regulatory requirements

Your Qualifications:

  • 3-5 years of securities-based compliance experience within a financial services organization
  • Knowledge of AML/CTF requirements in Australia, New Zealand and Singapore jurisdictions
  • Experience reviewing and implementing regulatory changes
  • Operate autonomously with integrity and meet deadlines
  • Strong analytical skills and ability to multi-task
  • Management experience is a plus

Why Fisher Investments Australia:

 

At Fisher Investments, 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.

 

Today, Fisher Investments manages over $175 billion in client assets, including over $115 billion in assets for nearly 100,000 high-net-worth investors across 14 countries in Europe and North America. We are a privately held firm interested in helping as many clients as we possibly can and building long-term value—not short-term profits.

 

Benefits:

  • Comprehensive healthcare plan, Complete Gold Hospital plus Business 80 plan through GU Health (Fisher pays the Base Tier subsidy based on your family status and location)
  • Superannuation, default fund CareSuper
  • 20 days of annual leave, plus bank holidays
  • Mental health and wellness tools including AXA Employee Assistance Programme and Ginger coaching services
  • Reimbursement for annual flu vaccination

As part of recruiting and hiring employees, Fisher Investments Australasia Pty Ltd (ACN 159 670 667) collects personal information. This collection is authorized by and, in some cases, required by Australian law. We obtain personal information directly from individuals and from third parties, such as professional recruiters. An individual's personal information will be used and disclosed in accordance with this statement and our Privacy & Cookie Policy, available at https://www.fisherinvestments.com/en-au/privacy. Sensitive information, such as health or criminal information will only be collected with consent. In some cases, refusal to authorize the collection of sensitive information, such as through a background check, may impede the recruitment and hiring process, including potentially preventing employment. We disclose personal information to other parties in accordance with our Privacy & Cookie Policy. Some of these third parties are service providers located outside of Australia, including our parent company in the United States. Our Privacy & Cookie Policy contains information about how individuals may access and seek correction of their personal information, how individuals may complain about a breach of privacy, and how we will deal with that complaint.

 

FISHER INVESTMENTS AUSTRALIA IS AN EQUAL OPPORTUNITY EMPLOYER

 

Share:

Not ready to apply?

Join Fisher's Talent Network