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Graduate - Legal Compliance and Risk Management Rotation

About First Sentier Investors 

We provide clients with high quality long-term investment capabilities managed by independent, specialist teams 

We are stewards of AUM of AU$241 billion on behalf of institutional investors, pension funds, wholesale distributors and platforms, financial advisers and their clients worldwide 

Our investment capabilities include Australian and global equities, global emerging markets and Asia Pacific equities, direct and listed infrastructure, fixed income and multi-asset solutions, systematic equities and listed property 

We believe investment success is achieved by bringing together autonomous teams of investment specialists who share a commitment to responsible stewardship.

Position Purpose 

The role will operate, on a rotational basis, within three of First Sentier Investor’s (“FSI”) key control functions, working with colleagues to deliver on the team’s core objective, and support FSI to sustainably deliver on its strategy:  

Core Objective 


Compliance actively challenge and partner with investment teams, and across FSI, to sustainably deliver the firm’s strategy, business plans and propositions, whilst protecting the firm’s reputation, brand and integrity, tough to build, all too easy to lose. 

Risk Management  

Risk Management equip the business with the relevant tools, information and materials to allow the business to make risk-based judgements and decisions in line with strategy, risk appetite, risk management frameworks, business opportunities and operations. 

Company Secretariat 

Company Secretariat ("Co Sec") is the link between boards of companies in the FSI Group and employees within the business globally. It is responsible for the ongoing administration and governance of FSI Group companies, and certain internal committees. 

Key Responsibilities 

The role will be responsible, in collaboration with their colleagues, for: 


  • The design, development and implementation of global compliance policies and procedures. 
  • Advising the business on new or changed business activities and the compliance impact. 
  • Identifying obligations arising from, and monitoring the business’ compliance with, relevant requirements of regulatory systems and internal policies applicable to the business. 
  • Providing, or supporting, regular, timely and relevant reporting to relevant FSI group governance forums (e.g. Boards, Committees). 
  • Undertaking other compliance activity as needed e.g. managing licences, approval of marketing materials; supporting the RFP and client take on processes. 

Risk Management

  • The development, maintenance and facilitation of the firm's risk management framework, policies and procedures. 
  • Manage oversight of business risks and controls including assurance activity, risk assessments and control testing. 
  • Coordinate and manage the effective recording, analysis, investigation and reporting of risk incidents. 
  • Maintain oversight of issues, including monitoring of action status and ensuring appropriate evidence is retained to support issue closure. 
  • Assist with the update and accuracy of information retained in the risk management system (Riskonnect). 

Company Secretariat 

  • Coordinating the timely collection and despatch of board and committee papers. 
  • Coordinating board meetings, including meeting agendas. 
  • Maintaining company records. 
  •  ​Advising FSI Group company boards and committees on corporate governance principles and the implementation of corporate governance programs.  
  • Monitoring adherence to board and committee policies and procedures. 
  • Providing certain information about FSI Group companies to employees upon request.  

Required Capabilities 

  • An understanding or strong interest in financial services or capital markets 
  • A University Degree (Bachelor (or higher)) in one of the following fields: Law / Finance / Economics / Business 
  • Exceptional oral and written communication skills 
  • Confident, with high motivation and willingness to collaborate across teams 
  • Strong analytical, numerical and problem solving skills with an eye for detail and willingness to grapple with complex issues 
  • Possess a ‘can do’ proactive, tactful style 
  • Pro-active approach to tasks and to be accountable and take ownership for things 
  • Well-developed time and/or project management skills with an ability to undertake a wide range of divergent activities with tight deadlines 
  • Computer literate with a high level of proficiency in MS Excel, PowerPoint and Word and ability to grasp the use of new systems easily 
  • This role provides the potential for the successful candidate to launch their career in the investment management industry.  The candidate must have the ability to evolve as the job description for this role also evolves.  
Closed 9 months ago
Closed 9 months ago
  • Job type:Graduate Jobs
  • Disciplines:


  • Work rights:

    Australian Permanent Resident, New Zealand

  • Locations:





    Feb 2022 (approx)

  • Program Duration

    18 Months

  • Closing Date:28th Nov 2021, 6:00 am


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