Compliance Manager

Prosperity Advisers; Newcastle; On-site; AUD 120,000 - 170,000; Full time

Benefits offered by this job

GreatPlace to Work Certified employer

Employee benefits program

Job summary

Prosperity Advisers in Newcastle is seeking an experienced Compliance Manager to lead governance, compliance and regulatory change across a dynamic professional services environment.

You will partner with senior leaders to turn regulatory obligations into practical, repeatable processes while strengthening our compliance culture and program. This role reports to the COO and offers broad exposure and career growth.

Qualifications

• Experience across compliance, governance, risk, audit or professional services operations.
• Ability to interpret regulatory requirements and turn them into practical processes.
• Strong writing and documentation capability.

Responsibilities

• Strengthen the compliance framework across regulatory obligations, AML/CTF, professional standards, policies, insurance, complaints, incidents and regulatory change.
• Maintain the framework, obligations register and calendar, coordinate reviews and monitor developments through to implementation.
• Coordinate professional and ethical requirements, including APES 110, independence and conflicts, maintaining the central policy framework.
• Support the AML/CTF program across risk assessment, due diligence, beneficial ownership, monitoring, reporting, training and escalation.
• Coordinate complaints, incidents and breaches from identification through investigation, remediation and closure, escalating as needed.
• Coordinate key insurance renewals and declarations relating to conflicts, outside interests, gifts and independence.
• Deliver the annual compliance monitoring program and coordinate mandatory training and guidance.
• Provide concise reporting to the COO, ELT and Board on material compliance matters and emerging risks.

Skills

Compliance

Governance

Risk management

Audit

Professional services

Education

Degree in compliance, risk, governance, accounting, business or law

Job description

At Prosperity, we believe our people are our greatest asset.

As an award-winning professional services firm and GreatPlace to Work certified employer, we are committed to creating an exceptionalemployee experience where our people feel valued, supported and empowered togrow their careers. Our culture is built on trust, respect and innovation, andwe're proud to provide meaningful career opportunities in an environment wherepeople genuinely enjoy coming to work.

We're looking for a Compliance Manager to join ourOperations team in Newcastle.

This role offers a broad remit and the opportunity to workclosely with senior decision-makers while developing practical solutions thatsupport the business and strengthen our compliance culture.

When you join Prosperity, you're joining a firm that iscommitted to your professional growth and wellbeing.

Employee Benefits & Experience

• GreatPlace to Work Certified employer


• Agenuine people first culture with visible leadership support and regularplanned social events.


• Competitivesalary + Balance Scorecard bonus and extensive employee benefits (FitnessPassport, novated leasing, staff lending).
  


• Professionalmembership support, training and clear career progression.Learning anddevelopment opportunities


• EmployeeAssistance Program (EAP)


• ModernCBD office environment


• Teamevents, social activities and community engagement opportunities


• Supportiveleaders who genuinely invest in your success


• Acollaborative and inclusive workplace culture where your contribution isrecognised and valued

About the Role

Take the lead in strengthening compliance and governanceacross a dynamic professional services environment.

We’re looking for an experienced Compliance Managerwho can bring regulatory requirements to life and make compliance part of theway we work every day.

Partnering with our Chief Operations Officer, Directors andservice-line leaders, you’ll be the central point of coordination for thefirm’s compliance framework across regulatory obligations, AML/CTF,professional standards, policies, insurance, complaints, incidents andregulatory change.

Key Responsibilities

• Compliance& regulatory change: Maintain the compliance framework,obligations register and compliance calendar, coordinate reviews andmonitor regulatory developments through to implementation.


• Professionalstandards & policies: Coordinate professional and ethicalrequirements, including APES 110, independence and conflicts, whilemaintaining the firm’s central policy framework.


• AML/CTF:Support the AML/CTF Program across risk assessment, due diligence,beneficial ownership, monitoring, reporting, training and escalation.


• Complaints,incidents & breaches: Coordinate matters from initialidentification through to investigation, remediation and closure,including escalation where external notification or specialist advice maybe required.


• Insurance& declarations: Coordinate key insurance renewals and claimsnotifications and maintain declarations relating to conflicts, outsideinterests, gifts and independence.


• Monitoring& training: Deliver the annual compliance monitoring program andcoordinate mandatory compliance training and guidance.


• Executivereporting: Provide concise reporting to the COO, Executive LeadershipTeam and Board on material compliance matters, outstanding actions andemerging risks.

About You

You have experience across compliance, governance, risk,audit or professional services operations, together with the ability tointerpret regulatory requirements and turn them into practical processes.

You’ll also bring:

• Strongwriting and documentation capability.


• Excellentattention to detail and record keeping.


• Soundprofessional judgement and discretion.


• Confidenceworking with senior stakeholders.


• Theability to manage competing priorities and drive actions through tocompletion.


• Apractical, collaborative and solutions-focused approach.


• Experiencewithin accounting, advisory or financial services, particularlyinvolving AML/CTF, professional standards, insurance, complaints orregulatory investigations, will be highly regarded.


• Qualificationsin compliance, risk, governance, accounting, business or law wouldalso be advantageous.

Discover a Career with Prosperity

This is an excellent opportunity for an experiencedcompliance professional to take on a key role in strengthening the firm’scompliance and governance framework. Working closely with senior leaders andbusiness owners, you will help translate regulatory and professionalobligations into practical business processes, while continuing to develop yourexpertise within a firm that invests in the success and development of itspeople.