- Support the compliance program to ensure adherence to relevant regulatory registrations and licensing requirements within the securities industry
- Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO)
- Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC
- Conduct enhanced due diligence (EDD) on high-risk customer relationships to ensure regulatory compliance
- Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting
- Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters
- Contribute to the development and delivery of compliance training and awareness initiatives
- Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices
- Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control
- Support the compliance monitoring program by identifying risks and assisting in the implementation of appropriate controls
- Monitor regulatory developments and assess their impact on the business and compliance framework
- Provide compliance support to product, technology, and front/middle/back office teams to ensure regulatory alignment.
- Bachelor’s degree in Finance, Law, or a related discipline
- Minimum 2+ years’ experience in compliance, preferably within banking, financial services, or fintech
- Robust 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