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About the Role

The Senior Compliance and Risk Officer reports directly to the Head of Compliance and plays a pivotal role in the evaluation, ongoing development, implementation and maintenance of Dimensional’s Compliance and Risk Management Frameworks. This position will work closely with the local leadership team to further enhance our culture of compliance with regulatory, fiduciary and legal obligations, industry standards and internal company policy. Collaboration with global compliance and risk counterparts, as well as Australian stakeholders, is paramount to the success of the individual in this role.

Responsibilities

Coordinate regulatory lodgments, reporting and statutory obligations to ensure all deadlines are met.
Review and sign-off of all promotional material.
Maintain compliance registers, breach registers and regulatory records.
Ongoing development, implementation and maintenance of Dimensional’s compliance monitoring program and compliance monitoring systems.
Identification and analysis of all compliance obligations (existing and new) that impact on Dimensional’s operations, and seeking expert legal advice as required.
Oversight and responsibility for front office mandate monitoring using Charles Rivers Investment Management System (CRIMS).
Assist business with product related requests.
Reviewing TMDs.
Monitoring regulatory reforms and industry developments, and responding to changes by way of implementing policy, process, and associated employee training.
Preparation of compliance reports to management, the Compliance Committee and the Board.
Provision of advice and training on compliance and risk related issues to the firm and its staff.
Incidents, complaints and breaches management.

Requirements

At least five to seven years experience in a compliance or risk related role at a Responsible Entity, Fund Manager or Investment Management business.
Good working knowledge of the regulatory obligations of a Responsible Entity, most notably the relevant obligations contained within the Corporations Act and ASIC Regulatory Guides.
Experience managing competing priorities in a fast-paced environment.
Proven experience balancing commercial considerations with reputational and legal risk.
Exceptional communicator and a natural ability to effectively engage with senior management, directors, clients and other external stakeholders.
Strong work ethic and ability to demonstrate initiative, personal integrity and act as a mentor to junior members of the team.
Ambitious self-starter who is capable of rapidly learning key elements of the business, managing multiple projects and meeting deadlines.

Location

Remote
Onsite

Work Type

Hybrid
Full-time

Experience Level

Senior

Benefits

Hybrid working model (2 days remote per week)
Core hours policy (10:00 a.m. to 3:00 p.m.)
Career opportunities
Subsidized health insurance
Health and fitness incentive program
Up to 16 weeks of paid primary caregiver leave
Support for fertility journey, adoption, new child, or menopause
Reimbursement for pre-approved study (e.g., CFA)
Exam leave
Free access to mental health and wellbeing support
Life and salary continuance insurance
Inclusive and fun social events and activities
Training on sexual harassment, discrimination, and respectful workplaces

About the Company

Dimensional is a global investment manager and a leader in applying advanced financial science to equity and fixed income investment strategies.
For more than 30 years, we have translated research into real-world investment solutions for clients.

Equal Opportunity

It is the policy of the Company to provide equal opportunity for all employees and applicants.
The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.