CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Reporting to the Head of Enterprise Risk & Regulation, the primary objectives of the role are to:
Drive the continuing development and implementation of an effective and industry best practice regulatory risk and compliance framework and related policies and processes – with a particular focus on Australasia and Asia
Design and execute regulatory risk and compliance processes including the identification, monitoring, resolution and reporting of breaches and issues to protect QIC and support the achievement of QIC's strategic objectives
Identify and track regulatory change – so that QIC is well prepared to meet the impact of changing regulation
Ensure that QIC's framework of policies and standards is comprehensive, aligned with industry best practice and is up to date
Manage and oversee QIC's conflicts of interest management program, including in relation to information barriers and investment conflicts.
Act as a strategic advisor and role model to internal stakeholders, providing them with sound, commercial and up to date advice and information and training
Design, champion and implement initiatives to build internal capability to identify and manage regulatory risk and compliance issues. The team is responsible for managing QIC's regulatory licensing and authorisations for APAC and the Middle East. This includes AFS Licences, FATCA / CRS, AML/CTF, overseas product registrations and QIC's WHS obligations)
Co-manage the QIC marketing review process, including for RFPs and DDQ responses
The ideal candidate
As a strong candidate for this role, you will possess experience working in a risk management, compliance or legal role within the asset management or broader finance sector. Your knowledge of best practice risk and compliance frameworks will be highly regarded. You must be highly self-motivated with a demonstrated ability to engage at all levels, take ownership and have a strong commitment to continuous improvement.
In addition, candidates should possess the following attributes:
Degree qualified in Law / Finance / Accounting / Business or equivalent. Preferably with post graduate qualifications
At least 7 years of experience working in risk management, compliance or legal roles within the asset management or broader finance sector
Highly self-motivated with a demonstrated ability to take engage at all levels, take ownership and progress issues with minimal day-to-day supervision
Ability to analyse complex and technical laws and regulations and interpret their impact on a diverse business.
Ability to deal with complex and technical issues and to develop workable, efficient solutions
Demonstrated ability to identify, analyse and proactively resolve problems which impact an organisation's regulatory risk and compliance obligations
Demonstrated ability to work proactively and collaboratively with others, share knowledge across divisions and influence others
Excellent written and verbal communication skills, attention to detail and a focus on accuracy and delivering successful outcomes. Must be able to communicate complex issues to a broad variety of stakeholders, including Board members, Executives as well as all levels of QIC co-workers
We would highly regard :
Previous exposure working in a Regulatory Compliance function in funds management, investment banking or at a regulator. Ideally with international experience.
Experience in applying and gaining regulatory licences and authorisations in Australasian and Asian jurisdictions, and of dealing with regulators.
To apply, please submit a cover letter and CV via our careers portal by 30th June 2017.
Applications from Recruitment Agencies will not be considered.
Follow QIC on LinkedIn to receive the latest industry news and job updated at https://www.linkedin.com/company/qic
QIC Limited (QIC) is a leading global alternatives investment provider for sovereign wealth funds, superannuation funds and other institutional investors. QIC delivers services to over 90 like minded institutional investors in Australia and internationally with more than A$81.1 billion (30th April 2017) in funds under management. Spanning fixed interest and liquid strategies, infrastructure, real estate, private equity and multi asset solutions, QIC adapts its approach to suit the investor and the investment context.