Manager - Enterprise Risk & Compliance (Line 2)

Australian Compliance Institute Inc.; Sydney; Hybrid; AUD 207,000 - 253,000; Full time

Job summary

The ACT Government is seeking a Senior Compliance Manager for a 6-month fixed-term contract in Sydney. You will lead a three-person AML, market surveillance and advisory team, owning day-to-day operations and ensuring regulatory alignment across retail financial advice, AML/CTF, and market rules.

Hybrid Sydney CBD work arrangement offers flexibility while maintaining control and delivery of critical compliance workflows.

Qualifications

• 8+ years of Australian financial services compliance experience across trading or wealth management.
• Strong knowledge of retail financial advice regulations, ASIC Market Integrity Rules, ASX/Cboe Operating Rules, and AML/CTF frameworks.
• Ability to operate independently in a fast-paced environment and deliver practical, solution-oriented outcomes.

Responsibilities

• Lead, mentor, and prioritise a three-person team across AML, market surveillance, and advice.
• Be the first point of contact for daily queries across trading, operations, and private wealth.
• Maintain oversight of compliance processes, regulatory filings, and information security standards.
• Triage and manage breach assessments, operational risk incidents, and pre-trade escalations.
• Prepare committee papers and board reports with key regulatory deadlines.

Skills

Analytical

Stakeholder engagement

Leadership

Independent work

Job description

ACT Government

Asset Audit and Compliance Officer Full-time Temporary

Location: Sydney CBD (Hybrid)
Contract Type: 6-Month Fixed-Term Contract
Remuneration: Up to $230,000 + superannuation (pro-rata)

Morgan McKinley is exclusively partnering with a high-growth Australian Wealth FinTech Firm based in Sydney to source a highly experienced Senior Compliance Manager on a 6 month fixed term contract.
With the current Head of Compliance fully dedicated to uplifting, redesigning, and implementing a modernised compliance framework across the organisation, they require a self-assured, seasoned leader to step in immediately and take full ownership of the day-to-day operations.
Leading an established team of three specialists covering AML, market surveillance, and advice, you will serve as the primary operational anchor and trusted escalation point across the business, keeping core compliance running smoothly in a fast-paced trading environment.
The company offers hybrid working in the Sydney CBD.

Responsibilities:

• Lead, support, and mentor a high-performing team of three, setting daily priorities, unblocking challenges, and serving as the primary sounding board.
• Act as the first point of contact for daily queries across trading, operations, and private wealth, delivering rapid, pragmatic, and commercially sound advice.
• Maintain operational oversight of compliance processes governing retail financial advice, AML/CTF obligations, and ASIC/exchange market integrity rules.
• Triage, investigate, and manage breach assessments, operational risk incidents, and pre-trade escalations, raising critical issues to the Head of Compliance where necessary.
• Prepare committee papers and board reports, track key regulatory filing deadlines (e.g. IDR reporting), and ensure strict adherence to information security standards.

Requirements:

• 8+ years of Australian financial services compliance experience with an ideal background across trading or wealth management.
• Solid working knowledge of retail financial advice regulations, ASIC Market Integrity Rules, ASX/Cboe Operating Rules, and AML/CTF frameworks.
• Demonstrated confidence and capability to step into a fast-paced environment with minimal handover, make defensible decisions, and run the function independently.
• Strong analytical and stakeholder engagement skills, with an ability to get across complex facts quickly and deliver practical, solution-oriented outcomes.
• A decisive, calm leader who thrives on operational variety and can comfortably manage the day-to-day operations.