The Compliance Manager will support the compliance program, conduct monitoring, participate in investigations, provide guidance on regulatory obligations, and enhance the compliance framework.
- Support the compliance program to ensure adherence to relevant regulatory registrations, licensing obligations, and compliance requirements within the financial services industry
- Provide compliance guidance on regulatory obligations, AML/CTF requirements, sanctions obligations, and broader compliance matters across day-to-day business activities
- Conduct compliance monitoring activities across business operations, including representatives conduct monitoring, onboarding oversight, and regulatory compliance reviews
- Participate in compliance investigations, regulatory reporting matters, and financial crime related escalations where required
- Support onboarding, due diligence, OCDD / ECDD reviews, and ongoing compliance oversight activities in line with internal policies and regulatory expectations
- Assist in fraud, scam, compliance incident, and regulatory breach investigations, ensuring appropriate escalation, tracking, and reporting
- Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters where applicable
- Contribute to the development and delivery of compliance training, awareness initiatives, and governance-related activities
- Draft, review, and update compliance policies, procedures, marketing materials, and internal guidelines to ensure alignment with regulatory requirements and business practices
- Support the ongoing enhancement of the compliance framework, including governance reporting, policy reviews, and monitoring activities
- Conduct compliance monitoring and assist in identifying regulatory and operational risks, including implementation of appropriate controls where required
- Monitor and interpret regulatory developments and assess their impact on the business and broader compliance framework
- Work closely with product, technology, operations, client services, and other business units to support compliance obligations and regulatory alignment
Requirements
- Bachelor’s degree in Finance, Law, or a related discipline
- Minimum 2+ years’ experience in compliance, preferably within banking, financial services, or fintech
- Strong knowledge of regulatory frameworks, particularly ASIC and AUSTRAC requirements
- Solid understanding of the role of compliance within a financial services organisation
- Experience in one or more of the following areas:
- Regulatory compliance and licensing (ASIC)
- AML/CTF / Financial Crime Compliance (FCC)
- Marketing and financial promotions compliance
- Financial advice compliance
- Complaints handling (IDR/EDR)
- Stockbroking or securities industry
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What you need to know about the Sydney Tech Scene
From opera to comedy shows, the Sydney Opera House hosts more than 1,600 performances a year, yet its entertainment sector isn't the only one taking center stage. The city's tech sector has earned a reputation as one of the fastest-growing in the region. More specifically, its IT sector stands out as the country's third-largest, growing at twice the rate of overall employment in the past decade as businesses continue to digitize their operations to stay competitive.
