Compliance Manager

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

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 Sydney.

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.

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