APAC Compliance Associate, Regulatory Risk

LGBT Great; Sydney; Hybrid; AUD 110,000 - 170,000; Full time

Job summary

PIMCO Australia in Sydney is seeking a skilled Compliance professional to support regulatory obligations for Australian funds and the APAC region. The role covers AML/KYC, e-surveillance, licensing, and governance, with interaction across senior leadership.

The ideal candidate has at least 3 years in financial services compliance and holds a degree in finance, accounting, or law. You will contribute to training, audits, and ongoing regulatory developments to strengthen the compliance programme.

Qualifications

• At least 3 years working experience in legal, compliance or audit in financial services.
• Degree qualified in either finance/accounting/law discipline.
• Strong communication and collaboration skills.

Responsibilities

• Marketing material review: Perform reviews of the marketing materials and product-related documents
• Compliance monitoring and testing: Personal trading monitoring, e-surveillance, social media surveillance, gifts and entertainments
• AML/KYC checks and oversight: Carry out on-boarding and ongoing AML checks, oversight of our unit registry, review transaction monitoring
• Incident and breach management: Review, monitor and manage incidents and breaches, complaints, conflict of interest, related party transactions. Maintain various registers
• Licensing: Manage licence applications/cessations, handling regulatory enquires/reporting requirements or ASIC and AUSTRAC
• Governance: Prepare Compliance committee and board packs for meetings
• Audit Coordination: Manage and support internal/external audits
• General advisory: Advise and guide business, stay up to date on regulatory developments and assist in continued design, enhancement and implementation of an effective compliance programme
• Training: Administering training program for compliance for new hire, all staff, Regulatory Guide 146 staff and Responsible Managers. Maintain training register
• Client due diligence: Supporting client operational due diligence
• ETF continuous disclosure obligations: oversee compliance of listing obligations

Skills

Strong communication

Collaboration

Autonomy

Education

Degree in finance/accounting/law

Job description

PIMCO Australia in Sydney is seeking a skilled Compliance professional to support regulatory obligations for Australian funds and the APAC region. The role covers AML/KYC, e-surveillance, licensing, and governance, with interaction across senior leadership.

The ideal candidate has at least 3 years in financial services compliance and holds a degree in finance, accounting, or law. You will contribute to training, audits, and ongoing regulatory developments to strengthen the compliance programme.