Senior Risk & Compliance Officer

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TMF Group is a leading provider of administrative services, helping clients invest and operate safely around the world. As we’re a global company with 11,000+ colleagues based in over 125 offices across 87 jurisdictions, we actively seek out people with the talent and potential to flourish at TMF Group, whatever their background, and offer job opportunities to the broadest spectrum of people. Once on board we nurture and promote talented individuals, making sure that senior positions are open to all.

Discover the Role

This is a client-facing compliance role embedded within the Fund & Trustee Services team, responsible for providing practical, hands-on compliance support across range of retail and wholesale fund structures under TMFs management. As part of first line of defence, the role is directly accountable for day-to-day compliance execution, supporting fund establishment, client onboarding and ongoing servicing activities in which TMF acts as corporate trustee, responsible entity or licensor.

The role partners closely with internal business units and external fund clients to support new client onboarding, periodic reviews, and provide real-time compliance guidance to the clients. It also ensures ongoing alignment with internal compliance framework, and regulatory requirements, in collaboration with second-line compliance.

These structures include domestic and international equity funds, private equity funds, land subdivision funds, SIV funds, mortgage funds, hotel funds, property development funds, as well as Australian investment vehicles supporting global clients

This role involves active participation in client discussions and approvals related to fund establishment, and product governance including regulatory filings, if any on behalf of fund clients.

Key Responsibilities

General regulatory matters

• Monitor the regulatory environment and assess the impact of regulatory changes on

current and new clients.

• Provide advice to business unit in relation to regulatory compliance matters.

• Develop and deliver training on compliance matters to staff and investment managers.

• Respond to regulatory queries – ASIC / AUSTRAC / ATO / Federal Police / Other in relation to fund and trustee services matters.

• Oversee response to fund clients-related incidents and complaints, using technical

judgment to assess, review, and help resolve issues with a focus on robust outcomes and regulatory expectations in collaboration with the corporate compliance officer.

• Maintenance of board, responsible managers & staff training plans and registers.

• Maintain policies and procedures related to fund clients and corporate authorisations

• Manage and maintain complaints mailbox, registers, including breaches, complaints,

incidents and reviews.

• Oversee response to client-related incidents and complaints, using technical judgement to assess, review, and help resolve issues.

Retail Fund Compliance

• Maintain compliance plans for all retail funds.

• On establishment oversee the registration of compliance plans.

• Conduct regular compliance monitoring & reporting for all retail scheme compliance

plans.

• Manage external audit process of all compliance plan audits.

• Reviewing Target Market Determination documents as part of the Design and Distribution Obligation for TMF Group.

• Develop and deliver training to staff and investment managers on compliance obligations relating to retail funds.

Corporate Authorised Representatives Oversight & Compliance

• Review and sign-off on due diligence undertaken on authorised representatives to be

appointed.

• Responsible for the ongoing monitoring of authorised representatives in accordance with our representative’s management policy.

• Respond to regulatory queries and engage with compliance in relation to regulatory

matters related to authorised representatives.

Outsourced Service provider oversight and monitoring

• Maintain register of all outsourced service providers.

• Conduct regular reviews of current and potential outsource arrangements to ensure

adequacy and compliance with Outsource Policy and report to relevant Boards.

• Undertake due diligence on proposed third party organisations for the provision of

outsourced services.

• Conduct regular monitoring of the sufficiency of services provided in accordance with the outsource policies and compliance schemes where relevant.

Key Requirements

• relevant tertiary qualifications, with a minimum of 5 years of experience within the

Australian financial services risk, compliance environment.

• AUSTRAC/AFSL/AML - CTF experience.

• Policy and Governance experience within a regulated entity interfacing with regulators.

• In-depth knowledge of Corporations Act and other applicable legislation.

• Strong working knowledge of the legal and regulatory framework.

• Experience of influencing through change and working in complex environments.

• Ability to organise and manage multiple tasks/projects simultaneously.

• Quality focus with high attention to detail.

• Exceptional stakeholder management, communication, and problem-solving skills

• Experience in developing policies and providing training.

• Excellent time management skills.

What’s in it for you?

Pathways for career development

- Work with colleagues and clients around the world on interesting and challenging work.
- We provide internal career opportunities so you can take your career further within TMF
- Continuous development is supported through global learning opportunities from the TMF Business Academy

Making an impact

- You’ll be helping us to make the world a simpler place to do business for our clients
- Through our corporate social responsibility program, you’ll also be making a difference in the communities where we work

A supportive environment

- Strong feedback culture to help build an engaging workplace
- Our inclusive work environment allows you to work from our offices around the world, as well as from home, helping you find the right work-life balance to perform at your best.

We’re looking forward to getting to know you!