Compliance Analyst

Superhero; Sydney; Vor Ort; AUD 80.000 - 110.000; Vollzeit

Zusammenfassung

Superhero, an award-winning Australian investment and superannuation platform, is seeking a compliance-oriented Analyst to support the Compliance Manager and the Financial Crime Compliance Manager. You will provide advisory, monitoring and reporting services to the business in a hands-on, fast-paced environment to protect customers and strengthen trust in Superhero.

The role focuses on interpreting legislation and regulatory guidance, collaborating with third parties, developing analytical

Qualifikationen

• The ability to understand and interpret relevant legislation, including the Superannuation Industry (Supervision) Act 1993, the Superannuation Industry (Supervision) Regulations 1994, the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 and the Corporations Act 2001
• The ability to understand and interpret relevant regulatory guidance, particularly the ASIC Regulatory Guides: 274, 271, 78, 234, 104 and 244
• A minimum of one year of experience working within a superannuation, securities or AML/CTF focussed compliance advisory role
• The ability to interpret and apply Superhero’s policies and procedures as they apply to our superannuation and trading product offerings
• Highly developed verbal and written communication skills
• The ability to work both independently and as part of a team, escalating challenges or concerns promptly and appropriately
• The capability to develop and write analytical reports
• Strong critical thinking and problem-solving skills; and
• High-energy for performance in a fast paced environment with tight deadlines

Aufgaben

• Providing compliance advisory, monitoring and training services (design & facilitation) to the Line 1 business on superannuation, trading and AML/CTF matters in accordance with legislative and regulatory guidance
• Working with our key third parties to ensure compliance with superannuation regulations and to respond to periodic questionnaires and attestations as well as to update superannuation disclosure documents as required
• Investigating and assessing superannuation and trading incidents and breaches and ensuring reportable situations are reported to ASIC in a timely manner under RG 78 - Breach reporting by AFS licensees and credit licensees
• Liaising with the frontline Customer Service and Complaints Teams to ensure complaints are appropriately investigated and responded to in compliance with ASIC RG 271, including complaints monitoring and oversight of complaints reporting and Internal Dispute Resolution letters to customers
• Advising and approving marketing materials in accordance with ASIC RG 234 Advertising financial products and services (including credit): Good practice guidance
• Updating Superhero’s compliance frameworks, policies and procedures as required and at least annually
• Providing monitoring at onboarding and on an ongoing basis of financial advisers permitted to use the Superhero platform to operate customer accounts
• Responding to regulatory queries, surveys and Notices from ASIC, APRA and Superhero’s Market Participant or Execution & Clearing Provider as required
• Conducting Line 2 quarterly risk assurance monitoring to ensure Line 1 risk controls are operating effectively
• Drafting periodic compliance reporting for Senior Management, the Risk & Compliance Committee and the Board as required; and
• Conducting AML/CTF transaction monitoring and submitting Suspicious Matter Reports to AUSTRAC as required.
• Conducting Know Your Customer (KYC) checks at onboarding and performing Enhanced Customer Due Diligence (ECDD) monitoring on an ongoing basis.

Jobbeschreibung

Superhero is an award-winning Australian investment and superannuation platform built for the new generation of self-directed investors.

Today, we’re proudly helping over 470,000 Australians reimagine their financial future and build real wealth on Superhero. We’re looking for sharp, collaborative minds to support our mission of democratising investing.

About the role

We’re looking for a compliance-orientated Superhero with previous experience working in a compliance team to assist both the Compliance Manager and the Financial Crime Compliance Manager. The right person for this role will be passionate about providing compliance advisory, monitoring and reporting services to the business. This is a hands-on role for someone who thrives in a fast-paced environment and wants to see their work directly contribute to protecting customers and strengthening trust in Superhero.

Requirements

As Compliance Analyst you will need to have:

• The ability to understand and interpret relevant legislation, including the Superannuation Industry (Supervision) Act 1993, the Superannuation Industry (Supervision) Regulations 1994, the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 and the Corporations Act 2001;
• The ability to understand and interpret relevant regulatory guidance, particularly the following ASIC Regulatory Guides: 274, 271, 78, 234, 104 and 244.
• A minimum of one year of experience working within a superannuation, securities or AML/CTF focussed compliance advisory role;
• The ability to interpret and apply Superhero’s policies and procedures as they apply to our superannuation and trading product offerings;
• Highly developed verbal and written communication skills;
• The ability to work both independently and as part of a team, escalating challenges or concerns promptly and appropriately;
• The capability to develop and write analytical reports;
• Strong critical thinking and problem-solving skills; and
• High-energy for performance in a fast paced environment with tight deadlines.

Responsibilities

Your responsibilities will include assisting both the Senior Compliance Manager and the Financial Crime Compliance Manager in:

• Providing compliance advisory, monitoring and training services (design & facilitation) to the Line 1 business on superannuation, trading and AML/CTF matters in accordance with legislative and regulatory guidance;
• Working with our key third parties to ensure compliance with superannuation regulations and to respond to periodic questionnaires and attestations as well as to update superannuation disclosure documents as required;
• Investigating and assessing superannuation and trading incidents and breaches and ensuring reportable situations are reported to ASIC in a timely manner under RG 78 - Breach reporting by AFS licensees and credit licensees;
• Liaising with the frontline Customer Service and Complaints Teams to ensure complaints are appropriately investigated and responded to in compliance with ASIC RG 271, including complaints monitoring and oversight of complaints reporting and Internal Dispute Resolution letters to customers;
• Advising and approving marketing materials in accordance with ASIC RG 234 Advertising financial products and services (including credit): Good practice guidance.
• Updating Superhero’s compliance frameworks, policies and procedures as required and at least annually;
• Providing monitoring at onboarding and on an ongoing basis of financial advisers permitted to use the Superhero platform to operate customer accounts;
• Responding to regulatory queries, surveys and Notices from ASIC, APRA and Superhero’s Market Participant or Execution & Clearing Provider as required;
• Conducting Line 2 quarterly risk assurance monitoring to ensure Line 1 risk controls are operating effectively;
• Drafting periodic compliance reporting for Senior Management, the Risk & Compliance Committee and the Board as required; and
• Conducting AML/CTF transaction monitoring and submitting Suspicious Matter Reports to AUSTRAC as required.
• Conducting Know Your Customer (KYC) checks at onboarding and performing Enhanced Customer Due Diligence (ECDD) monitoring on an ongoing basis.

Our Values

• We do the right things, always: We lead with transparency and accountability and always do what’s right for our customers.
• We’re never done: We have a bias for action and a hunger for growth.
• There’s no ‘i’ hero: We’re team-first and believe in owning the problem and sharing our success together.
• We innovate courageously: We start with “how” and “why not” and we don’t settle for the status quo.

We are committed to fostering a diverse and inclusive workplace and believe that different perspectives lead to better outcomes. If you're passionate, innovative, and aligned with our values, we're excited to have you on board. Help us shape the future of fintech investment and empower our clients to achieve their financial goals.

You will need to have the rights to legally work in Australia, sponsorship options are not available for this role.