Senior Compliance & Governance Lead (AML/CTF)

Prosperity Advisers; Newcastle; Vor Ort; AUD 120.000 - 170.000; Vollzeit

Benefits dieser Stelle

GreatPlace to Work Certified employer

Employee benefits program

Zusammenfassung

Prosperity Advisers in Newcastle is seeking an experienced Compliance Manager to lead governance, compliance and regulatory change across a dynamic professional services environment.

You will partner with senior leaders to turn regulatory obligations into practical, repeatable processes while strengthening our compliance culture and program. This role reports to the COO and offers broad exposure and career growth.

Qualifikationen

• Experience across compliance, governance, risk, audit or professional services operations.
• Ability to interpret regulatory requirements and turn them into practical processes.
• Strong writing and documentation capability.

Aufgaben

• Strengthen the compliance framework across regulatory obligations, AML/CTF, professional standards, policies, insurance, complaints, incidents and regulatory change.
• Maintain the framework, obligations register and calendar, coordinate reviews and monitor developments through to implementation.
• Coordinate professional and ethical requirements, including APES 110, independence and conflicts, maintaining the central policy framework.
• Support the AML/CTF program across risk assessment, due diligence, beneficial ownership, monitoring, reporting, training and escalation.
• Coordinate complaints, incidents and breaches from identification through investigation, remediation and closure, escalating as needed.
• Coordinate key insurance renewals and declarations relating to conflicts, outside interests, gifts and independence.
• Deliver the annual compliance monitoring program and coordinate mandatory training and guidance.
• Provide concise reporting to the COO, ELT and Board on material compliance matters and emerging risks.

Kenntnisse

Compliance

Governance

Risk management

Audit

Professional services

Ausbildung

Degree in compliance, risk, governance, accounting, business or law

Jobbeschreibung

Prosperity Advisers in Newcastle is seeking an experienced Compliance Manager to lead governance, compliance and regulatory change across a dynamic professional services environment.

You will partner with senior leaders to turn regulatory obligations into practical, repeatable processes while strengthening our compliance culture and program. This role reports to the COO and offers broad exposure and career growth.