Compliance & Risk Management Recruitment – Melbourne VIC

The Opportunity

The Senior Regulatory Compliance Manager will act as a senior technical regulatory adviser to the Australian business. Reporting directly to the Head of APAC Compliance, the role will provide practical guidance on financial services regulation, licensing obligations, financial products and new business initiatives, while identifying opportunities to strengthen existing compliance processes and procedures. The role requires deep technical capability combined with the judgement and stakeholder skills to operate effectively in a fast-moving financial markets environment.

Key Responsibilities

- Provide high-quality regulatory compliance advice to the Australian business on existing activities, new initiatives, products and change programs.
- Interpret and apply relevant financial services legislation, regulatory guidance, license obligations and regulatory expectations.
- Advise on regulatory requirements relating to financial products and services, including trading and investment products.
- Partner with Product, Legal, Operations, Technology, Risk and commercial teams to embed compliance requirements into new initiatives and business processes.
- Review existing compliance policies, procedures and controls and identify opportunities for uplift, simplification or improved effectiveness.
- Assess regulatory change and determine the practical implications for the business, supporting implementation of required changes.
- Support the maintenance of an effective compliance framework, including regulatory obligations, policies, governance and issue management.




- Provide credible technical challenge and pragmatic advice on complex or higher-risk regulatory matters.
- Support engagement with regulators and the preparation of regulatory responses, notifications or submissions where required.
- Contribute to the identification, escalation and management of regulatory compliance risks and emerging issues.
- Help build regulatory capability across the business through clear guidance, education and effective stakeholder engagement.

Experience & Capability

- Strong regulatory compliance experience within Australian financial services, ideally in financial markets, trading, broking, investment products or a closely related environment.
- Deep technical understanding of financial products, regulatory guidance and Australian financial services licensing obligations.
- Demonstrated ability to interpret complex regulatory requirements and provide clear, commercially practical advice to the business.
- Experience advising on new products, initiatives or business change and assessing regulatory implications.
- Strong written communication, analytical and stakeholder management capability.
- Ability to operate with autonomy, take initiative and work effectively in a lean and fast-paced environment.




- Strong judgement and the confidence to challenge senior stakeholders while maintaining constructive relationships.

Highly Regarded

- Experience with CFDs, equities, stockbroking, ETFs, derivatives, foreign exchange, crypto-related products or broader investment products is advantageous but not mandatory.
- Legal qualifications or previous legal practice experience, particularly where combined with in-house compliance experience.
- Experience in a smaller or medium-sized financial services business where regulatory compliance responsibilities are broad and hands-on.
- Experience dealing directly with ASIC or supporting regulatory engagement.
- Relevant tertiary qualifications in law, finance, commerce, risk, compliance or a related discipline.

What Success Looks Like

You will be a credible, pragmatic and proactive compliance professional who can combine strong technical judgement with commercial awareness. You will be comfortable operating with autonomy, engaging senior stakeholders and translating complex regulatory requirements into practical actions for the business.

About the Environment

This is an established global financial markets business operating in a highly regulated, technology-led environment. The Australian business provides access to a broad range of trading and investment products. The culture is rapid-moving and relatively lean, requiring people who can take ownership, work across functions and adapt quickly as products, regulation and business priorities evolve.

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📌 Senior Regulatory Compliance Manager (Melbourne)
🏢 Compliance & Risk Management Recruitment
📍 Melbourne