Legal Counsel – Compliance

Brisbane | Financial Services | In-house

An opportunity for a junior lawyer to build a career in-house, working across legal, regulatory and compliance matters within a growing financial services business.

We are working with an established Australian financial services and investment business to recruit a Legal Counsel – Compliance to join its legal and compliance team.

This is an interesting opportunity for a lawyer with at least two years' post-admission experience who enjoys working through regulatory issues, providing practical commercial advice and helping a business navigate its legal and compliance obligations.

Working closely with the Chief Legal & Compliance Manager, you'll have exposure to a broad range of matters associated with the organisation's Australian Financial Services Licence (AFSL), as well as the opportunity to contribute to the ongoing development of its compliance and risk management frameworks.

The role

Your responsibilities will include:

- Providing practical legal and compliance advice to stakeholders across the business.
- Advising on regulatory requirements associated with the organisation's AFSL.
- Assisting with the preparation, review and execution of fund documentation and disclosure materials.
- Reviewing and updating compliance policies, procedures and risk management frameworks.
- Monitoring legislative and regulatory developments and advising on their implications for the business.
- Assisting with regulatory reporting and lodgements, including ASIC and AUSTRAC requirements.
- Conducting compliance reviews, risk assessments and controls assurance activities.
- Supporting new business initiatives, partnerships and commercial opportunities from a legal and regulatory perspective.
- Assisting with compliance training, incident management and continuous improvement initiatives.





About you

We're looking for a qualified lawyer with at least two years' post-admission experience, strong analytical skills and an interest in developing a career in financial services.

You may already be working in-house, or you could be in private practice and looking for an opportunity to move into a business where you can work more closely with commercial stakeholders.

Ideally, you'll bring:

- A Bachelor of Laws and at least two years' post-admission experience.
- Experience in corporate, commercial, financial services or regulatory matters.
- An interest in financial services regulation, compliance and risk management.
- Robust drafting, analytical and problem-solving skills.
- The confidence to engage with stakeholders and communicate legal requirements in a practical, straightforward way.
- A proactive approach, sound judgement and the ability to work both independently and collaboratively.

Previous experience in financial services or within an AFSL-regulated business would be advantageous, but is not essential. We're equally interested in hearing from lawyers with transferable skills and a genuine interest in this area.

Why consider this opportunity?

This role offers the prospect to develop valuable experience at the intersection of law, financial services and regulation, while working closely with an established legal and compliance function.

You'll gain exposure to a broad range of legal and regulatory matters, develop relationships across the business and have the opportunity to contribute to how its compliance framework operates and evolves.

For a junior lawyer looking to make the move in-house, or someone already working in financial services who wants to broaden their experience, this could be a very worthwhile next step.

For a confidential discussion, please contact Ross Dakin at Peppercorn Recruitment on (phone hidden).

📌 Compliance Lawyer (Brisbane)
🏢 Peppercorn Recruitment
📍 Brisbane