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Compliance Manager

 Castle Point - Good Returns

Funds Compliance Manager - 24-30 hours per week

This role is part time, and we are flexible with the hours on offer, but we expect this to be between 24-30 hours per week.

Working closely with the leadership team this role will be instrumental in facilitating the day-to-day operating of the risk and compliance function, it will require you to not only get your hands dirty in the detail, but stepping out of day-to-day work.

This is an opportunity for the right candidate to own the Compliance function and make an impact. Design and develop the frameworks the business can rely on and progress forward with, develop on-going education and put in place a strong risk and compliance culture.


Reporting to the CFO, in addition to the above you will make an impact by:

· Ensuring the design and application of Castle Point’s policies, procedures and internal controls result in a sound compliance framework.

· Provide guidance on AML to the business

· Act as the Compliance Officer, AML/CFT Officer and liaison with the FMA

· Ensure integrity of our Compliance Framework is upheld and maintained

· Ensure compliance of fund offer documents (e.g. PDS, SIPO), fact sheets and advertising are adhered to.

· Maintain and review of the Risk Notification Register

· Manage the relationship with our supervisor and complete reporting as required.

· Complete management, board and compliance committee reporting and keep relevant stakeholders informed of material obligations, risks, breaches, and requirements when required.

· Complete compliance reporting on time.

· Take the lead on the AML audit, Controls audit, Internal audit and Compliance Assurance functions when required with the support of the leadership team.

· Oversee and manage control checks (e.g. PIE, Mandate Compliance, Reconciliations, NTA, AML transaction monitoring, etc.)

· Support the CFO on other compliance related work.


The perfect fit;

What makes you a stand-out is your commercial acumen, you understand that risk and compliance is a critical pillar to business especially in a highly regulated environment like ours, but you understand all aspects of the business not just this function that you specialise in. The way Compliance supports our business is in partnership with our investment team and customers, working together to achieve great outcomes is what we are all about.

We want someone that is a great fit with us as well, we are a tight knit team and fitting in with our culture is critical to your success and the success of our people, we value openness, deep technical knowledge, trust and transparency.

In return, we offer fantastic learning and development opportunities, autonomy and empowerment to make it your own – we are not a corporate business that is weighed down in bureaucracy, we have left that life behind so we can make an impact! And this is what makes us a close team.


Some of the fundamentals to being successful;

· Proven experience and strong knowledge base of Risk and Compliance within financial services that has the best interests of Castle Point and one that is outcomes focussed.

· Track record of successfully implementing compliance and risk frameworks

· Degree qualified in Commerce, Finance, Accounting or Law (preferred)

· Understanding of and experience in implementing legislative industry requirements, AML/CFT Compliance; quality of advice monitoring; and funds management.

· Highly collaborative with the ability to interact effectively and confidently with stakeholders at all levels of the business internally and externally including the Board as required.

· Ability to bring both a risk-focused and growth mindset when delivering continuous improvement initiatives.


Next Steps

This is a rare opportunity to join a high growth business, with a competitive remuneration package and benefits with multiple avenues for learning. Investing in our people is at the heart of what we do, we want you to have a long-term career that will flourish with us and beyond. If this sounds like an opportunity you want to be part of apply now or check us out at www.castlepointfunds.com


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