Regulatory Compliance Analyst

TalentWeb | B Corp; Sydney; On-site; AUD 120,000 - 170,000; Full time

Job summary

TalentWeb | B Corp is seeking an experienced compliance professional to join its 2LoD Compliance team in Sydney. The role focuses on end-to-end regulatory compliance for AFSL obligations, with emphasis on monitoring, breach management, and policy updates.

You will assess regulatory developments, update frameworks, and contribute to education across the business while ensuring marketing and complaints processes meet RG 234 and ASIC expectations.

Qualifications

• 3+ years in a compliance, risk, regulatory or governance role with an AFSL licensee.
• Solid understanding of AFSL obligations, ASIC regulations, the Corporations Act 2001, and AML/CTF requirements.
• Experience across compliance monitoring, breach management, risk assessments, policy development, RG 234 marketing compliance, and complaint resolution (IDR/EDR).
• Collaborative, adaptable mindset with a passion for learning and market trading awareness.

Responsibilities

• Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
• Ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
• Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
• Update compliance policies / procedures / frameworks in line with regulatory changes.
• Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.
• Review marketing documents to ensure they remain accurate and compliant.
• Manage complaints and dispute resolution in line with ASIC and AFCA requirements.
• Support internal audits, regulatory reviews, and ASIC enquiries.

Skills

AFSL compliance

Regulatory risk

AML/CTF compliance

ASIC regulations

Policy development

Breach investigation

Complaints handling

Monitoring & assurance

Job description

Our client is an award-winning multi-asset broker / investment FinTech that provides access to thousands of financial products across FX, CFDs, Indices, Commodities, Shares, ETFs and Bonds. They're committed to delivering a reliable and trusted trading environment, offering integrity, security, and operational excellence.

This is a new addition to their 2LoD Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL.

Duties & Responsibilities

• Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
• Ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
• Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
• Update compliance policies / procedures / frameworks in line with regulatory changes.
• Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.
• Review marketing documents to ensure they remain accurate and compliant.
• Manage complaints and dispute resolution in line with ASIC and AFCA requirements.
• Support internal audits, regulatory reviews, and ASIC enquiries.

Key Requirement

• 3+ years of hands-on experience in a compliance, risk, regulatory or governance role with an AFSL licensee.
• Strong understanding of AFSL obligations, ASIC regulations, the Corporations Act 2001, and AML/CTF requirements.
• Broad experience across compliance monitoring, breach management, risk assessments, policy development, marketing compliance (RG 234) and complaints resolution (IDR & EDR, RG 234)
• Open-minded, adaptive and collaborative - passionate about learning and getting your hands dirty.
• Keen interest in global markets trading / broking is highly regarded.