We are keen to speak with seasoned funds compliance candidates to join our clients second line of defence compliance team. This role is responsible for providing regulatory compliance advisory support across the Australian business, with a focus on the firm's frameworks, policies and procedures and acting as a key POC for the regulator and support on global projects. The successful candidate will bring deep knowledge of the regulatory environment and practical experience supporting unlisted funds.
Key Responsibilities
Providing expert compliance advice on Australian regulatory requirements (ASIC, APRA, Corporations Act, Privacy Act).
Advising on and managing conflicts of interest, including gifts, entertainment, and outside business activities.
Supporting and enhancing the compliance framework, policies and procedures.
Leading or contributing to compliance projects, including regulatory change and control uplift initiatives.
Acting as a subject matter expert on privacy compliance, including data handling and breach response.
Monitoring regulatory developments and assessing their impact on the business.
Supporting compliance monitoring and assurance activities, including thematic reviews.
Preparing reports and insights for senior management and governance forums.
Delivering compliance training and awareness sessions across the business.
Key Requirements
7+ years of experience in compliance, legal, or risk roles within financial services, with a strong preference for experience in wholesale unlisted funds environment.
Strong knowledge of the Australian regulatory environment, including the Corporations Act, ASIC and APRA guidance.
Demonstrated experience in providing compliance advisory support and managing regulatory obligations.
Experience in managing conflicts of interest and privacy frameworks is highly desirable.
Strong stakeholder engagement and communication skills, with the ability to influence and challenge constructively.
Proven ability to manage multiple priorities and deliver outcomes in a fast-paced environment.
Relevant tertiary qualifications in law, commerce, or a related field. Legal qualifications are advantageous but not essential.
To be considered, click the apply button below. Alternatively, for a private conversation to discuss this role further before applying, please reach out on the following;
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