Job Responsibilities:

Governance & Oversight

- Support the Senior Risk & Compliance Manager in maintaining AML/CTF, regulatory and compliance frameworks across TMF Australia, TMF New Zealand and Vasco.

- Support compliance oversight activities relating to trustee services, managed investment schemes, investor onboarding, customer due diligence, sanctions screening and regulatory reporting obligations.

- Assist in the preparation of compliance reports, governance materials and management information for senior stakeholders.

- Support the maintenance of AFSL compliance processes, licence obligations and compliance monitoring activities.

- Support the implementation and periodic review of AML/CTF and regulatory compliance frameworks and assist in monitoring and governance activities.

- Support compliance monitoring and reporting activities to facilitate oversight, escalation and assurance across business lines.

- Act as a key support resource to the Senior Risk & Compliance Manager and provide coverage for designated compliance activities as required.

Regulatory Policy Management

- Assist in monitoring regulatory developments and support implementation of policy and procedural updates.

- Maintain and update local compliance policies to ensure jurisdictional relevance.

- Support gap assessments and maintenance of regulatory and AML/CFT compliance obligations registers.

- Support regulatory filings, licence notifications and annual regulatory and AML/CFT returns.

Risk Management & Change Oversight

- Support risk assessments and compliance reviews relating to new products, services and client structures.

- Assist with compliance risk assessments covering AML/CTF, trustee, investor onboarding, outsourcing and operational compliance risks.





- Execute compliance monitoring activities in line with approved compliance monitoring plans.

- Support the identification of emerging compliance risks and assist in the development of mitigation actions.

- Participate in regulatory change management projects and support implementation of new services, products and client structures.

Client Acceptance & KYC

- Support AML/CTF customer due diligence, ongoing monitoring and investor remediation programmes across TMF and Vasco operations.

- Conduct reviews of investor onboarding matters, including wholesale and sophisticated investor assessments, source of wealth/source of funds reviews and high-risk customer cases, escalating where required.

- Support ongoing monitoring of investor onboarding and KYC controls to ensure alignment with regulatory requirements.

Regulatory Reporting & Liaison

- Assist in the preparation, review and submission of regulatory reports, breach notifications, AML/CTF returns, ASIC notifications and other statutory filings.

- Support Responsible Managers and compliance leadership in fulfilling regulatory reporting and compliance obligations.

- Support regulatory examinations, audits, reviews and remediation initiatives as required.

Screening & Transaction Monitoring

- Conduct sanctions, PEP, adverse media and transaction monitoring reviews in accordance with established procedures and escalation requirements.

Compliance Monitoring & Testing

- Execute compliance monitoring,



testing and assurance activities covering AML/CTF, AFSL and trustee compliance obligations.

- Conduct thematic reviews, sample testing and compliance assurance activities.

Trustee & Funds Management Compliance

- Support compliance activities relating to corporate trustee, responsible entity and managed investment scheme obligations.

- Support governance activities relating to managed investment schemes, wholesale investor funds and trustee arrangements.

- Review trustee and fund-related incidents, breaches and control weaknesses and support remediation initiatives.

- Support the provision of regulatory guidance relating to trustee obligations, investor eligibility requirements and compliance expectations.

Training & Development

- Develop and deliver AML/CTF, compliance, and risk training programs for staff.

- Support awareness initiatives and provide ad-hoc compliance support across teams.

Job Description:

- Degree in Business, Accounting, Law, or related fields.

- ACAMS or ICA or GRCI certification preferred.

- Minimum 5–7 years of experience in AML/CTF, compliance, financial crime, trustee, funds management or regulatory compliance roles within financial services.

- Experience supporting AML/CTF compliance, KYC, customer due diligence and regulatory compliance activities is preferred.

- Experience within a Responsible Entity, Corporate Trustee, Managed Investment Scheme, Fund Manager, Custodian or Financial Services Licensee highly desirable.

- Solid understanding of Australian AFSL, ASIC, and AML/CFT regulatory obligations.

- Excellent communication, analytical, and problem-solving skills.

- Experience supporting regulatory inspections, compliance reviews, remediation programmes and regulatory engagements is desirable.

📌 [Hybrid] Senior Risk & Compliance Officer (Sydney)
🏢 TMF Corporate Services (Aust) Pty
📍 Sydney