Senior Compliance Lead – Global Investment Manager

Platinum Pacific Partners; Sydney; On-site; AUD 180,000 - 300,000; Full time

Job summary

Platinum Pacific Partners in Sydney, Australia, is seeking a senior compliance professional to lead the regional Australian compliance agenda within its global investment management platform. The role offers high autonomy, strategic advising to senior management and close collaboration with global Compliance, Legal and Risk teams.

You'll oversee ASIC engagement, licensing matters, and the control framework for investment and distribution activities, while building a strong compliance culture and

Qualifications

• 10–15 years' Australian financial services compliance experience.
• Deep knowledge of ASIC, AFSL and regulatory requirements.
• Experience with investment compliance, conflicts, personal dealing, best execution.
• Proven experience engaging with ASIC.
• Strong advisory skills and ability to work with senior leaders.

Responsibilities

• Lead the Australian compliance framework and regulatory agenda.
• Provide strategic compliance advice to senior management and investment teams.
• Oversee investment management and distribution compliance.
• Manage ASIC engagements and licensing matters.
• Oversee compliance monitoring, risk assessments, incidents and remediation.
• Advise on new business initiatives and evolving regulations.
• Collaborate with global Compliance, Legal and Risk teams on cross-border matters.
• Build and maintain a strong compliance culture and lead the local team.

Skills

Regulatory compliance

Leadership

Strategic advisory

Australian FS compliance

Communication with senior management

Education

Bachelor's degree in finance/law

Job description

An exciting opportunity for a senior Compliance professional to take a regional leadership role within the Australian business of a global investment management organisation.

This is a high-autonomy, strategic compliance role, working closely with senior management and global Compliance teams to oversee the Australian regulatory framework and support the firm’s investment and distribution activities.

The role will focus on:

• Leading the Australian compliance framework and regulatory agenda
• Providing strategic compliance advice to senior management and investment teams
• Oversight ofinvestment management and distribution compliance
• ASIC engagement, regulatory enquiries and licensing matters
• Compliance monitoring, risk assessments, incidents and remediation
• Advising on new business initiatives and evolving regulatory requirements
• Working across global Compliance, Legal and Risk teams on cross-border matters
• Building and maintaining a strong compliance culture across the business
• Leading and developing the local Compliance team

We're ideally looking for:

• 10–15 years' Australian financial services compliance experience
• Deep knowledge of ASIC, AFSL and Australian regulatory requirements
• Experience with investment compliance, conflicts, personal dealing, best execution and trade allocation
• Proven experience engaging with ASIC
• Strong advisory skills and the confidence to work with senior investment and business leaders
• Experience operating within a global / matrixed environment
• A strategic, commercially minded approach with the ability to operate autonomously