Compliance Manager | Sydney, CBD | Permanent | Max Salary $175k Plus Super

Compliance Manager | Sydney, CBD | Permanent | Max Salary $175k Plus Super

  • Post Date:08/04/2019
  • Apply Before: 30/06/2019
  • Views 617
2 Applications
  • Offered Salary $150k+
    Industry Management
Sydney, CBD
Job Description

Are you seeking a Legal and Compliance expert within finance and lending? Growing boutique Wealth Management firm in Sydney CBD needs your assistance!

The Company…..

This Australian dynamic and fast-growing boutique firm have an excellent reputation amongst high net worth individuals across the Asian market. They’re known for tailoring solutions to meet the demands of their customers and are extremely entrepreneurial in their approach to opportunities. Their Sydney based team is made up of passionate, intelligent and innovative staff and they’re seeking a like-minded individual to work closely with the Directors to drive compliance and assist with future growth. While team work is extremely important in this firm, this is an autonomous role therefore you must have the ability to work independently and come in, hitting the ground running.

The Job…..

Reporting through to the Managing Director, you will be responsible for the following duties:
• Manage all regulatory and legal risk requirements for the Firm
• Analyse current policies and compliance frameworks within the business
• Provide advice and guidance on compliance matters to Directors
• Proactively implement policies across the organisation to ensure the Firm continually stays compliant
• Continually review local requirements and ensure relevant requirements are rolled out through the organisation
• Liaise with relevant regulatory bodies on behalf of the Firm
• Maintain compliance registers throughout the Firm
• Design and roll out relevant training for all staff across the Firm to ensure staff are working in accordance with regulatory requirements


To be successful in this role, you must have experience in the following areas:
• Min 5 years’ experience working within a compliance capacity within the Financial Services industry
• Sound knowledge of lending, financial markets, banking & fund accounting
• Degree qualified in Business, Law or Commerce necessary, with post grad qualifications in Law beneficial
• Solid knowledge of Australian Credit Licence & Australian Financial Services Licence
• Up to date with regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX, FMA, FAA)

How to apply…..

If you’re a true compliance professional who is looking for a role where you have the autonomy to make a difference then don’t hesitate to send your application to or call Sarah or Jenny on 02 9002 5000 for a confidential conversation.

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