Rare permanent/part time (3 days per week) Legal & Compliance position. You will join a leading corporate advisory firm that provide market-leading services in M&A;, strategic, capital markets, shareholder advisory and restructuring. Sydney or Melbourne based.

You will support the General Counsel across the firm’s legal, compliance and governance functions, with primary responsibility for the day-to-day operation and maintenance of the firm’s compliance framework.

Key responsibilities

- Manage the day-to-day operation of the firm’s compliance framework and Compliance Plan.
- Monitor and assist with compliance with applicable laws, regulations and AFSL obligations.
- Maintain and update compliance policies, procedures, registers and the compliance calendar.
- Administer the firm’s AML/CTF and KYC processes, including oversight of the firms client onboarding and ongoing reviews.
- Undertake compliance monitoring and assist with identifying, escalating and remediating compliance issues.
- Assist with regulatory reporting and compliance committee matters.




- Provide legal and compliance support on contracts, engagement letters, NDAs and other commercial matters.
- Assist with privacy, employment, risk and other legal and regulatory matters as required.
- Support the implementation and ongoing governance of the firm’s technology and AI initiatives from a legal and compliance perspective.
- Assist the General Counsel with other legal, compliance and governance matters as required.

Experience and skills
- Senior compliance professional at least 5 years + relevant work experience and legal qualification.
- Relevant experience in a financial services environment and demonstrable understanding of Australian financial services regulation and AFSL requirements.
- Experience with AML/CTF and KYC frameworks.
- Robust drafting, analytical and organisational skills.
- Ability to work independently, manage competing priorities and exercise sound judgement.

Contact Amanda Atherton for further details, [email protected]

📌 Legal & Compliance Advisor, Financial Services (Sydney)
🏢 Atherton Davis
📍 Sydney