Senior Compliance Officer

Lotus People; Sydney; On-site; AUD 167,000 - 204,000; Full time

Benefits offered by this job

Discretionary bonus

Exposure to senior leaders

Autonomous working style

Job summary

Lotus People in Sydney seeks an experienced Compliance professional to strengthen the risk and regulatory framework for a leading Australian stockbroking and private wealth firm.

You’ll lead surveillance reviews, policy work and BAU obligations, then tackle strategic projects with advisers, branch managers and senior stakeholders. A practical, ownership mindset and ability to translate regulation into business advice are essential.

Qualifications

• Solid financial services experience in compliance, risk, or both.
• Strong knowledge of AFSL obligations, ASIC requirements and AML/CTF
• Proven experience with breach reporting, monitoring and surveillance
• Ability to turn regulation into practical business advice
• Proactive, ownership mindset and confidence working autonomously
• Tertiary qualification in law, finance, commerce or a related field, and RG146 compliant
• Desirable: experience in wealth, advice or stockbroking, or in remediation

Responsibilities

• Review and analyse surveillance reports and conduct risk-based compliance monitoring
• Draft, review and implement compliance policies, procedures and registers
• Manage breaches, incidents, complaints and reportable situations, including ASIC reporting
• Deliver practical regulatory advice to advisers, management and stakeholders
• Support AFSL and AML/CTF obligations, plus engagement with ASIC and AUSTRAC
• Coordinate responses to regulatory enquiries and information requests
• Drive continuous improvement and the uplift of the compliance framework

Skills

Regulatory compliance

AML/CTF knowledge

Surveillance & monitoring

Policy development

Breach management

Stakeholder advisory

Education

Tertiary qualification: law/finance/commerce

RG146 compliant

Job description

Our client is a long-established Australian stockbroking and private wealth firm with a strong reputation for quality advice and client service. It operates across private wealth, institutional sales and corporate finance.

The firm values integrity, ownership and practical thinking, and its compliance team is a trusted partner to the business. People enjoy the collaborative culture, real exposure to senior leaders and the room to make a difference.

ABOUT THE ROLE

Reporting to a forward-thinking Head of Compliance, you’ll play a key role in strengthening the firm’s compliance and risk framework. You’ll start with surveillance reviews, policy work and core BAU obligations, then move into strategic projects as you settle in. You’ll work closely with private wealth advisers, branch management and senior stakeholders, including the COO, giving practical advice that supports good commercial decisions.

DUTIES

• Review and analyse surveillance reports and conduct risk-based compliance monitoring
• Draft, review and implement compliance policies, procedures and registers
• Manage breaches, incidents, complaints and reportable situations, including ASIC reporting
• Deliver practical regulatory advice to advisers, management and stakeholders
• Support AFSL and AML/CTF obligations, plus engagement with ASIC and AUSTRAC
• Coordinate responses to regulatory enquiries and information requests
• Drive continuous improvement and the uplift of the compliance framework

SKILLS & EXPERIENCE

• Solid financial services experience in compliance, risk, or both
• Strong knowledge of AFSL obligations, ASIC requirements and AML/CTF
• Proven experience with breach reporting, monitoring and surveillance
• Ability to turn regulation into practical business advice
• Proactive, ownership mindset and confidence working autonomously
• Tertiary qualification in law, finance, commerce or a related field, and RG146 compliant
• Desirable: experience in wealth, advice or stockbroking, or in remediation

BENEFITS

• Up to $185K package including super, plus discretionary bonus
• Exposure to senior leaders and strategic projects
• A supportive, capable team with an autonomous working style
• Career development within a respected financial services brand

At Lotus People, we are committed to fostering diversity, equity and inclusion. We encourage applicants from all backgrounds to apply and will ensure a fair and equitable recruitment process.

ADDITIONAL INFORMATION

• Broad senior role across compliance and risk, with real ownership
• Lead surveillance reviews and the uplift of the compliance framework
• Up to $185K package including super, plus discretionary bonus