Exclusive to PX Resources
Our client is a boutique financial services organisation looking for an experienced risk and compliance professional to lead and drive its risk and compliance function.
Exclusive to PX Resources
Our client is a boutique financial services organisation looking for an experienced risk and compliance professional to lead and drive its risk and compliance function.
This is a stand-alone, senior risk and compliance leadership role within the organisation, with broad ownership, accountability and
direct exposure to the Executive Leadership Team and Board.
This is a hands-on implementation role focused on implementing and embedding frameworks, policies and processes into practical controls, tools, education, measures and reporting across the business.
Reporting to the COO and working closely with the CEO, your responsibilities will include:
Operationalising and embedding enterprise risk and compliance frameworks across the business
Implementing practical risk processes, controls, tools and education
Linking risk measures, KPIs, KRIs and reporting back to the organisation's risk appetite
Maintaining risk registers, compliance obligations registers, risk taxonomy and assessment methodologies
Establishing and maintaining risk-based compliance monitoring and assurance activities
Overseeing incident, breach and complaints management
Preparing risk and compliance reporting for Board and Committee meetings




Maintaining and updating relevant policies and procedures
Developing and delivering risk and compliance training
Coordinating regulatory change activities alongside the Governance Manager and Company Secretary
Providing practical risk and compliance advice to the business
Candidate Profile
The Ideal Candidate Will Have
Approximately seven or more years of experience across risk and compliance within financial services
Strong knowledge of ASIC regulatory obligations and AFSL compliance
Experience implementing and embedding enterprise risk and compliance frameworks
Insurance, insurance broking or underwriting experience, which would be highly regarded
Experience working in a lean or standalone environment with genuine ownership
The confidence to engage with senior executives and the Board while building strong relationships across the broader business
A pragmatic, commercial and hands-on approach
This opportunity would suit an experienced Risk and Compliance skilled. You may be currently at an experienced Manager level, Senior Manager or Head of. This would be of interest if you thrive on taking ownership, being visible, influencing the business, working closely with the executive team and board and establishing practical risk and compliance disciplines within a boutique environment.
The role can be based in Sydney or Melbourne.
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📌 Risk And Compliance Lead | Boutique Financial Services Business (Melbourne)
🏢 PX Resources
📍 Melbourne