Compliance Lead- Financial Services Platform

Kaizen Recruitment; Sydney; On-site; AUD 120,000 - 180,000; Full time

Job summary

Kaizen Recruitment seeks an experienced Compliance Lead for a regulated Australian financial services client based in Sydney. The role reports to the executive in risk & compliance and serves as the senior SME on compliance matters, embedding obligations across the business.

You will manage compliance frameworks, regulatory change initiatives, financial crime programs, incident management, and stakeholder engagement, influencing governance and customer-focused outcomes in a dynamic

Qualifications

• Significant experience in compliance within regulated industries.
• Ability to translate regulatory requirements into practical solutions for the business.
• Experience managing regulatory change programs and providing advisory support.
• Proven ability to investigate incidents and coordinate remediation activities.
• Knowledge of AML/CTF and financial crime controls.
• Strong stakeholder engagement and influence across multiple functions.
• Excellent written and verbal communication skills.
• Ability to coach and mentor junior team members.

Responsibilities

• Lead the interpretation and implementation of regulatory obligations across the organisation.
• Provide compliance advisory support to stakeholders on strategic initiatives, projects, products, and customer-facing activities.
• Maintain and enhance compliance frameworks, policies, procedures, and controls.
• Monitor regulatory developments and assess the impact of legislative and regulatory change.
• Manage compliance incidents, breaches, investigations, and remediation activities.
• Oversee financial crime compliance programs, including risk assessments and monitoring.
• Review customer communications, marketing materials, disclosures, and processes for compliance.
• Prepare compliance reporting and insights for leadership and governance committees.
• Build relationships with regulators, auditors, and service providers.
• Provide coaching and guidance to compliance team members.
• Promote a strong risk and compliance culture across the business.
• Embed compliance requirements early in the project lifecycle for new initiatives.

Skills

Regulatory compliance

Risk management

Governance frameworks

Regulatory change programs

Financial crime awareness

Stakeholder engagement

Analytical thinking

Communication skills

Education

Tertiary qualifications in Law/Finance/Business/Risk/Compliance

Job description

About the Company

Our client is a growing Australian financial services platform focused on delivering innovative investment, wealth, superannuation and financial solutions to retail customers. Through a technology-enabled platform, the business provides accessible and customer-centric financial products designed to support long‑term financial wellbeing.

About the role

An exciting opportunity exists for an experienced Compliance Lead to join a dynamic and fast‑paced organisation operating within a regulated environment. Reporting into the executive of the risk & compliance function, this role will serve as the senior subject matter expert for compliance matters, providing strategic guidance across the business while ensuring regulatory obligations are effectively embedded, monitored, and evidenced.

The successful candidate will play a critical role in managing compliance frameworks, regulatory change initiatives, financial crime compliance programs, incident management processes, and stakeholder engagement activities. This position offers the opportunity to influence business outcomes, support innovation, and contribute to a strong culture of governance and customer focus.

Key Responsibilities

• Lead the interpretation and implementation of regulatory obligations across the organisation;
• Provide compliance advisory support to business stakeholders on strategic initiatives, projects, products, and customer-facing activities;
• Maintain and enhance compliance frameworks, policies, procedures, and controls;
• Monitor regulatory developments and assess the impact of legislative and regulatory change;
• Manage compliance incidents, breaches, investigations, and remediation activities;
• Oversee financial crime compliance programs, including risk assessments, monitoring, reporting obligations, and periodic reviews;
• Review customer communications, marketing materials, disclosures, and operational processes to ensure compliance requirements are met;
• Prepare compliance reporting and insights for leadership and governance committees;
• Build strong relationships with internal stakeholders and external parties, including regulators, auditors, and service providers;
• Provide technical leadership, coaching, and guidance to compliance team members;
• Promote a strong risk and compliance culture across the business; AND
• Support the successful delivery of new business initiatives by embedding compliance requirements early in the project lifecycle.

Technical Skills & Qualifications Required

• Significant experience in compliance, risk management, governance, or regulatory affairs within a regulated industry;
• Strong understanding of compliance frameworks, risk management principles, and regulatory obligations;
• Demonstrated experience managing regulatory change programs and compliance advisory activities;
• Experience investigating compliance incidents and coordinating remediation activities;
• Knowledge of financial crime compliance requirements, including AML/CTF obligations;
• Proven ability to engage and influence senior stakeholders across multiple business functions;
• Experience preparing reports and recommendations for executive leadership and governance committees;
• Strong analytical, problem-solving, and decision-making skills;
• Excellent written and verbal communication skills;
• Ability to translate complex regulatory requirements into practical business solutions;
• Relevant tertiary qualifications in Law, Finance, Business, Risk, Compliance, or a related discipline; AND
• Professional compliance, governance, risk, or financial services qualifications will be highly regarded.