Job

Responsibilities:
Governance & Oversight
• Support the Senior Risk & Compliance Manager in maintaining AML/CTF, regulatory and compliance frameworks across TMF Australia, TMF Current 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.
• Strong 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.

📌 Senior Risk (Sydney)
🏢 Tmf Group
📍 Sydney