Role OverviewThe Head of Legal & Compliance will oversee Kingsmen's legal, regulatory and governance framework across its private credit operations.
Reporting directly to the Chief Executive Officer, the role is responsible for maintaining legal integrity across transactions, safeguarding AFSL obligations, strengthening the firm's compliance program and ensuring disciplined governance across origination, credit, investment and operational workflows.The successful candidate will bring strong legal judgement, a sophisticated understanding of private credit and the ability to convert regulatory requirements into practical, business-aligned frameworks.
The role requires a collaborative and commercially aware leader who can work closely with investment, credit, legal and operational teams while maintaining independent oversight.Key ResponsibilitiesLegal OversightProvide legal direction across the full lending lifecycle, including term sheets, loan documentation, security instruments and settlement workflows.Review and advise on facility agreements, mortgages, guarantees, priority arrangements and related documents.Manage external legal counsel and ensure advice is accurate, efficient and aligned with Kingsmen's standards.Maintain documentation quality and ensure enforceability, compliance and procedural integrity.Regulatory Compliance & GovernanceMaintain Kingsmen's AFSL compliance program, including monitoring, breach handling, conflict oversight and Responsible Manager obligations.Ensure compliance with the Corporations Act, ASIC guidance and trustee reporting requirements.Prepare compliance reports, certifications and governance updates for senior leadership.Oversee key compliance policies and ensure they remain current and effectively implemented.Oversee Kingsmen's legal and compliance risk framework across lending and operational activities.Independently review and challenge origination, credit assessments and Investment Committee submissions.Conduct periodic reviews of documentation quality, lending practices and portfolio risks.Provide clear risk insights and reporting to senior management.AML/CTF, KYC & Financial CrimeOversee the firm's AML/CTF Program, including onboarding, ongoing monitoring and reporting obligations.Ensure robust KYC procedures for borrowers, introducers, investors and counterparties.Coordinate periodic AML/CTF reviews and maintain audit-ready processes.Operational Governance & Internal ControlsMaintain compliance registers, incident logs, training records and audit trails.Conduct internal reviews across settlements, documentation and transaction workflows.Identify governance or process gaps and drive continuous improvement.Deliver training on compliance, conduct and governance expectations.People & Conduct GovernanceOversee conduct governance, ensuring employee behaviour aligns with Kingsmen's standards and regulatory expectations.Serve as a senior escalation point for internal conduct matters and ensure fair, consistent resolution.Support development of policies covering staff conduct, confidentiality, workplace integrity and ethical expectations.Advise leadership on conduct risks and recommend appropriate remediation pathways.Performance BenchmarksStrong compliance culture with no material breaches or governance failures.Accurate, timely reporting to senior leadership, trustees and external reviewers.Improved documentation standards, governance discipline and risk adherence across the business.High-quality independent challenge at Investment Committee level.Effective management and resolution of internal conduct matters.RemunerationKingsmen offers an above-market executive remuneration package aligned with the significance and accountability of this mandate.
The final structure will reflect the candidate's experience in legal governance, compliance oversight and leadership within private credit or broader financial services.Why KingsmenOpportunity to shape the legal and compliance architecture of a growing private credit platform.Exposure to sophisticated transactions across residential, commercial and development credit.Collaborative environment supported by experienced investment, credit and legal professionals.Senior leadership role with direct influence over the firm's regulatory posture and operating discipline.Direct reporting line to the CEO, ensuring strategic influence and visibility.Required ExperienceSignificant experience in legal, compliance or governance roles within lending, funds management or financial services.Strong understanding of AFSL obligations, AML/CTF requirements, credit frameworks and operational controls.Experience negotiating or reviewing lending and security documentation.Experience engaging with trustees, auditors, regulators or institutional stakeholders.Exceptional written and verbal communication skills with the ability to produce clear, accurate legal and governance documentation.Ability to lead, influence and embed a culture of compliance, professionalism and accountability.Strong judgement and the ability to handle sensitive conduct matters confidentially and effectively.If you are driven by governance excellence, disciplined legal judgement and the stewardship of a high-integrity institutional environment, we welcome your application.
#J-*****-Ljbffr