Compliance & Governance Leader

Prosperity Advisers; Sydney; On-site; AUD 140,000 - 190,000; Full time

Benefits offered by this job

Fitness Passport

Novated leasing

Staff lending

EAP

Modern CBD office

Team events

Job summary

Prosperity Advisers in Sydney seeks an experienced Compliance Manager to strengthen governance and regulatory adherence across a dynamic professional services firm. You will lead the central compliance program, align policies with APES 110 and oversee AML/CTF duties, incidents and reporting.

You will partner with senior leaders to translate complex requirements into practical processes, while supporting training, monitoring and executive reporting to drive the firm’s compliance culture.

Qualifications

• Experience across compliance, governance, risk, audit or professional services operations.
• Strong writing and documentation capability.
• Excellent attention to detail and record keeping.
• Sound professional judgement and discretion.
• Ability to manage competing priorities and drive actions through to completion.
• Experience within accounting, advisory or financial services, AML/CTF, professional standards, insurance, complaints or regulatory investigations.
• Qualifications in compliance, risk, governance, accounting, business or law would be advantageous.

Responsibilities

• Maintain the compliance framework, obligations register and compliance calendar, coordinate reviews and monitor regulatory developments through to implementation.
• Coordinate professional and ethical requirements, including APES 110, independence and conflicts, while maintaining the firm’s central policy framework.
• Support the AML/CTF Program across risk assessment, due diligence, beneficial ownership, monitoring, reporting, training and escalation.
• Coordinate complaints, incidents & breaches from initial identification through to investigation, remediation and closure, including escalation where external notification or specialist advice may be required.
• Coordinate key insurance renewals and claims notifications and maintain declarations relating to conflicts, outside interests, gifts and independence.
• Deliver the annual compliance monitoring program and coordinate mandatory compliance training and guidance.
• Provide concise reporting to the COO, Executive Leadership Team and Board on material compliance matters, outstanding actions and emerging risks.

Skills

Compliance

Governance

Risk management

Audit

Stakeholder management

Regulatory reporting

Education

Compliance, risk, governance, accounting, business or law qualifications

Job description

Prosperity Advisers in Sydney seeks an experienced Compliance Manager to strengthen governance and regulatory adherence across a dynamic professional services firm. You will lead the central compliance program, align policies with APES 110 and oversee AML/CTF duties, incidents and reporting.

You will partner with senior leaders to translate complex requirements into practical processes, while supporting training, monitoring and executive reporting to drive the firm’s compliance culture.