Regulatory Compliance Specialist

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 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.