Compliance Manager

  • Full-time
  • Operations
  • Sydney, Australia

Compliance Manager

About the business

Investible is a leading seed-stage investment group providing capital, expertise and talent in a supportive community that enables technology startups to thrive.  With over 90 investments in our portfolio, we are an active venture capital business with an enviable investment track record of high returns.


We are about to embark on a significant growth plan including launching a dedicated Climate Tech Fund and leading the development of Sydney’s innovation hub dedicated to Climate change. The Greenhouse hub aims to directly support more than 100 high-performing businesses in creating more than 1500 new jobs over 10 years dedicated to climate change.

About the Role

The role is a contract role supporting our Operations team and leading the compliance function of the business. Investible is currently a Corporate Authorised Representative (CAR) of a third-party AFSL and the role will be critical to monitoring, supervision and reporting on the obligations of the CAR.


Specific responsibilities will include:

  • Compliance and Risk Management: Ensure the operational risk and compliance framework of the group is maintained, embedded in the business and supported by an appropriate controls framework.
  • Monitoring and supervision: Monitoring and supervision of the group and individual Funds AFSL framework and compliance with the CAR and AFSL-holder policies and procedures. Keep all group compliance registers up to date and escalate risks and issues to senior management with recommendations for resolution. Undertake quarterly controls testing, undertake analysis, reporting and recommendations for improvements.
  • Obtain AFSL: Investible is currently in the process of obtaining its own AFSL and this role has primary responsibility for achieving this outcome.
  • Project support: Support the business to implement and manage a range of strategic projects to improve the end to end fund administration process.
  • Process improvement: Identify and implement ongoing process improvement initiatives within the business.  This includes ensuring all standard operating procedures and policies are maintained.
  • Client service: Provide superior service aligned with investor needs and the organisation's business objectives, including resolving investor queries.

 

Skills and experience:

  • Bachelors degree in Commerce, Business or Finance.
  • Experienced compliance professional with min 3 - 5 years’ experience in the venture capital or finance industry.
  • Ability to work in a team environment and manage complex tasks to deadlines.
  • Experience in process improvement initiatives to improve financial, client and risk outcomes.
  • Strong communication skills, both written and verbal
  • Strong Microsoft Office skills.
  • Sound understanding of the Investment Management industry.e

Benefits

  • Working in the fast-paced and dynamic environment of venture capital in a team with a vibrant culture
  • Ability to work remotely