Our client is a long-established Australian stockbroking and private wealth firm with a strong reputation for quality advice and client service. It operates across private wealth, institutional sales and corporate finance.
The firm values integrity, ownership and practical thinking, and its compliance team is a trusted partner to the business. People enjoy the collaborative culture, real exposure to senior leaders and the room to make a difference.
ABOUT THE ROLE
Reporting to a forward-thinking Head of Compliance, you'll play a key role in strengthening the firm's compliance and risk framework. You'll start with surveillance reviews, policy work and core BAU obligations, then move into strategic projects as you settle in. You'll work closely with private wealth advisers, branch management and senior stakeholders, including the COO, giving practical advice that supports good commercial decisions.
DUTIES
- Review and analyse surveillance reports and conduct risk-based compliance monitoring
- Draft, review and implement compliance policies, procedures and registers
- Manage breaches, incidents, complaints and reportable situations, including ASIC reporting
- Deliver practical regulatory advice to advisers, management and stakeholders
- Support AFSL and AML/CTF obligations, plus engagement with ASIC and AUSTRAC
- Coordinate responses to regulatory enquiries and information requests
- Drive continuous improvement and the uplift of the compliance framework
- Solid financial services experience in compliance, risk, or both
- Strong knowledge of AFSL obligations, ASIC requirements and AML/CTF
- Proven experience with breach reporting, monitoring and surveillance
- Ability to turn regulation into practical business advice
- Proactive, ownership mindset and confidence working autonomously
- Tertiary qualification in law, finance, commerce or a related field, and RG146 compliant
- Desirable: experience in wealth, advice or stockbroking, or in remediation
- Up to $185K package including super, plus discretionary bonus
- Exposure to senior leaders and strategic projects
- A supportive, capable team with an autonomous working style
- Career development within a respected financial services brand
At Lotus People, we are committed to fostering diversity, equity and inclusion. We encourage applicants from all backgrounds to apply and will ensure a fair and equitable recruitment process.
Every application we receive is reviewed by a real person, never by AI. If your experience aligns with the requirements of the role, a consultant will be in touch within 2-3 business days for an initial phone screen. Shortlisted candidates will then proceed to a virtual interview with the consultant managing the role.
Due to the volume of applications and the specific nature of our briefs, we are unable to take phone enquiries about roles before an application is submitted. We ask that all interested candidates please apply online and wait to hear from us. Rest assured, we respond to every applicant, regardless of the outcome, so you will not be left wondering.
Lotus People are proud to have been awarded Best Agency for Candidate Experience for five consecutive years.
We look forward to providing you with a positive and respectful experience.
