Compliance Officer

DecodeFX; Sydney; On-site; AUD 90,000 - 130,000; Full time

Job summary

Decode Group in Sydney seeks a detail-oriented Compliance Officer to support the regulatory compliance framework and ensure adherence to financial services laws, regulations and internal policies.

You will monitor compliance activities, review financial and operational records, identify regulatory risks, conduct compliance reviews and investigations, and liaise with stakeholders to promote a strong culture of compliance across the organization.

Qualifications

• Must have experience in compliance, risk management or internal audit within financial services.
• Understanding of financial services regulatory requirements and AFSL obligations.
• Strong analytical, investigative and problem-solving skills.
• Ability to review financial documentation and identify potential compliance issues.
• Excellent written communication and attention to detail.
• Ability to handle confidential information professionally.

Responsibilities

• Monitor and assess compliance with applicable financial services laws, regulations and internal policies.
• Review financial transactions, operational records and compliance documentation to identify potential irregularities or regulatory concerns.
• Conduct compliance reviews, internal audits and investigations into potential breaches or non-compliance.
• Identify, assess and report compliance risks, recommending appropriate corrective actions.
• Assist in maintaining and improving internal compliance policies, procedures and controls.
• Prepare compliance reports, investigation findings and supporting documentation for management review.
• Maintain accurate and confidential records of compliance activities and investigations.
• Liaise with internal stakeholders to provide guidance on compliance requirements and regulatory obligations.
• Support ongoing compliance monitoring and process improvement initiatives.

Skills

Compliance

Regulatory knowledge

Analytical thinking

Education

Law/Finance/Accounting/Business qualification

Job description

Decode Group is seeking a detail-oriented and experienced Compliance Officer to support the company's regulatory compliance framework and ensure adherence to applicable financial services laws, regulations and internal policies.

In this role, you will be responsible for monitoring compliance activities, reviewing financial and operational records, identifying potential regulatory risks and supporting the development and implementation of effective compliance procedures.

You will work closely with internal stakeholders to assess compliance matters, investigate potential breaches and promote a strong culture of compliance across the organization.

About the Role

Decode Group is seeking a detail-oriented and experienced Compliance Officer to support the company's regulatory compliance framework and ensure adherence to applicable financial services laws, regulations and internal policies.

In this role, you will be responsible for monitoring compliance activities, reviewing financial and operational records, identifying potential regulatory risks and supporting the development and implementation of effective compliance procedures.

You will work closely with internal stakeholders to assess compliance matters, investigate potential breaches and promote a strong culture of compliance across the organization.

Key Responsibilities

• Monitor and assess compliance with applicable financial services laws, regulations and internal policies.

• Review financial transactions, operational records and compliance documentation to identify potential irregularities or regulatory concerns.

• Conduct compliance reviews, internal audits and investigations into potential breaches or non-compliance.

• Identify, assess and report compliance risks, recommending appropriate corrective actions.

• Assist in maintaining and improving internal compliance policies, procedures and controls.

• Prepare compliance reports, investigation findings and supporting documentation for management review.

• Maintain accurate and confidential records of compliance activities and investigations.

• Liaise with internal stakeholders to provide guidance on compliance requirements and regulatory obligations.

• Support ongoing compliance monitoring and process improvement initiatives.

About You

You are a detail-oriented professional with strong analytical skills, sound judgement and an understanding of regulatory compliance within the financial services industry.

You are confident in reviewing financial and operational information, identifying compliance risks and interpreting relevant regulatory requirements.

You have strong written and verbal communication skills, with the ability to document findings clearly and work effectively with stakeholders across different departments.

You also demonstrate integrity, professionalism and a proactive approach to risk management and compliance improvement.

Essential Requirements

• Relevant experience in compliance, risk management, internal audit or a related function within financial services.

• Understanding of financial services regulatory requirements and compliance obligations.

• Strong analytical, investigative and problem-solving skills.

• Ability to review financial documentation and identify potential compliance issues.

• Strong written communication skills and attention to detail.

• Ability to handle confidential information professionally.

Desirable Qualifications and Experience

• A relevant qualification in Law, Finance, Accounting, Business or a related discipline.

• Experience working within an Australian financial services regulatory environment.

• Familiarity with ASIC regulatory requirements and Australian Financial Services Licence (AFSL) obligations.

• Experience conducting compliance monitoring, regulatory reporting or internal investigations.

• Experience developing or improving compliance policies and procedures.