A fast-growing funds management business with operations across Australia and New Zealand is appointing a
Head of Legal & Compliance
to support the next phase of growth and institutionalisation.
Reporting directly to the CEO, this role will lead the firm's legal, regulatory and governance framework, partnering closely with senior leadership while maintaining independent oversight across investment and operational activities.
Key Responsibilities
Legal
* Act as the primary legal advisor to the business across investment, lending and transactional activities
* Provide guidance on transaction structuring and oversee the preparation and review of key legal documentation
* Ensure contractual arrangements and security structures are robust, enforceable and aligned with internal standards
* Manage external legal advisers, controlling quality, cost and turnaround times
* Support senior decision-making by identifying legal risks and offering practical, commercially balanced solutions
* Maintain consistent documentation and legal processes as the platform scales
Compliance & Governance
* Own and maintain the firm's regulatory compliance framework, including AFSL obligations and ongoing monitoring
* Oversee regulatory reporting, breach management and governance processes
* Ensure policies, procedures and internal controls remain current, effective and embedded across the business
* Lead the firm's AML/CTF and KYC frameworks, ensuring strong onboarding and ongoing monitoring practices
* Conduct periodic reviews of operational and investment processes to identify compliance or conduct risks
* Deliver compliance training and promote a strong culture of accountability and ethical behaviour
* Act as a senior escalation point for conduct, governance and regulatory matters
About You
* Extensive experience in a senior legal or compliance role within funds management.
* Australian qualified lawyer.
* Strong understanding of regulatory obligations and risk management frameworks
* Strong ability to uplift legal and compliance frameworks
* Commercially minded with the confidence to challenge and advise at executive level
* Able to operate with discretion in a confidential, high-trust environment
* Comfortable balancing growth objectives with disciplined governance
The Opportunity
This is a rare opportunity to shape the legal and compliance foundations of a growing investment platform, with genuine influence at executive level and exposure to complex transactions.
This is an in office position.
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