Regulatory Compliance Analyst

TalentWeb | B Corp; Sydney; On-site; AUD 120,000 - 160,000; Full time

Job summary

TalentWeb | B Corp is seeking a 2LoD Compliance professional in Sydney to manage end-to-end regulatory compliance matters for the AFSL. The role focuses on monitoring, policy updates, and education across the business within a fast-paced financial services environment.

The ideal candidate has 3+ years in compliance with AFSL exposure, a strong grasp of Corporations Act and AML/CTF, and collaborative, proactive mindset. Experience with marketing compliance and ASIC inquiries is valued.

Qualifications

• 3+ years 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.
• Experience across compliance monitoring, breach management, risk assessments, policy development, marketing compliance (RG 234) and complaints resolution (IDR & EDR, RG 234).

Responsibilities

• Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
• 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 obligations

ASIC regulations

Breach management

Policy development

Regulatory reporting

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.

The Organisation & The Role

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.