Reporting to the Head of Compliance, the Senior Compliance Officer plays a key role in maintaining and enhancing Ord Minnett's compliance and risk framework. Working closely with advisers, business leaders and key stakeholders, this position provides practical regulatory guidance, manages compliance obligations and supports the organisation in meeting its regulatory requirements.
The role is responsible for compliance monitoring, breach and incident management, regulatory reporting, governance activities and continuous improvement initiatives. As a trusted adviser to the business, the Senior Compliance Officer helps foster a strong culture of compliance while supporting commercially sound decision-making.
This role offers significant exposure to senior stakeholders and provides an opportunity to contribute to strategic compliance, governance and risk management outcomes across the organisation.
Key responsibilities
Compliance monitoring, breach and incident management
Regulatory reporting
Governance activities
Provide practical regulatory guidance
Manage compliance obligations
Support the organisation in meeting regulatory requirements
Foster a strong culture of compliance
Support commercially sound decision-making
About you
8+ years' experience in financial services compliance, including hands-on responsibility for operating within an AFSL compliance environment
Solid knowledge of financial services compliance frameworks,



AFSL obligations and ASIC regulatory requirements
Demonstrated experience in compliance, risk, governance or regulatory roles
Practical experience managing breach reporting, incident management and regulatory engagement activities
Strong understanding of AML/CTF requirements and AUSTRAC reporting obligations
Excellent stakeholder management, communication and relationship-building skills, with the confidence to engage senior advisers and business leaders
Strong analytical and problem-solving capability, with the ability to balance regulatory obligations and commercial outcomes
Tertiary qualifications in law, finance, commerce, risk or a related discipline
Experience within stockbroking, private wealth management, financial advice or Responsible Entities
About us
Ord Minnett offers a unique opportunity to work with a dynamic and reputable firm. Elevate your career where you'll become an integral part of Australia's premier wealth management group.
Join us in shaping the future of the Australian investment landscape and be part of a team that values excellence, cohesiveness, a great work culture, where you'll be an integral part of a team committed to delivering top-tier services.
Ord Minnett does not accept unsolicited resumes from recruitment agencies and search firms. Please do not email or send unsolicited resumes to any Ord Minnett employee, location or address.
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📌 Senior Compliance Officer (Sydney)
🏢 Ord Minnett
📍 Sydney