Senior Compliance Officer

DUAL Asia Pacific; Sydney; On-site; AUD 90,000 - 130,000; Full time

Job summary

DUAL Asia Pacific is seeking a skilled compliance professional to embed the Compliance Management Framework and uplift compliance maturity across the business in ANZ.

You’ll work with colleagues across DUAL ANZ to translate regulatory requirements into practical processes, oversee monitoring, governance reporting, incident and breach management, and financial crime controls, while driving continuous improvement.

Qualifications

• Experience implementing and embedding compliance management frameworks.
• Strong understanding of ASIC-like regulatory obligations and financial crime requirements.
• Proven ability to prepare governance papers, incident summaries and action plans.
• Experience coordinating with multiple stakeholders to translate obligations into practical processes.

Responsibilities

• Support the implementation, embedding and ongoing improvement of the Compliance Management Framework across the business.
• Develop and deliver the Compliance Monitoring Plan including reviews, testing, remediation and action tracking.
• Prepare clear compliance reporting for senior management, committees and the Board.
• Partner with stakeholders to translate regulatory obligations into practical processes and controls.
• Manage compliance incidents, breaches and issues including root cause analysis and remediation tracking.
• Maintain governance processes including audits, conflicts of interest, governance registers and regulatory change tracking.
• Oversee financial crime compliance arrangements including sanctions screening and AML/CTF requirements.
• Develop and improve compliance policies, procedures and supporting guidance.
• Support third-party risk management, audits and assurance from a compliance perspective.
• Provide guidance to strengthen compliance awareness and ownership across the business.

Skills

Compliance experience

Regulatory frameworks

Governance reporting

Incident handling

Risk management

Stakeholder collaboration

Job description

Working across 21 countries, DUAL has built a reputation as a specialist underwriting group and the market of choice for insurance intermediaries around the world. That's how we have become one of the world's largest international underwriting agencies (or MGAs) with US$3.5bn GWP.

DUAL is part of Howden, a leading global insurance group with employee ownership at its heart. Founded in 1994, it provides insurance, reinsurance and underwriting services to clients ranging from private individuals to the largest multinational companies. The Group operates in 57 countries, employs over 24,000 people and manages premiums totalling US$50bn on behalf of its clients.

Role overview

Reporting into the Risk and Compliance Manager, this is an exciting opportunity for an experienced compliance professional to play a key role in embedding DUAL ANZ's Compliance Management Framework and supporting the continued uplift of compliance maturity across the business.

You’ll work closely with collaborators across DUAL ANZ to turn compliance and regulatory requirements into practical business processes and controls. You will also support compliance monitoring, governance reporting, incident and breach management, financial crime compliance, and continuous improvement. This position will suit someone who enjoys applying critical thinking alongside hands‑on delivery and influencing positive outcomes.

Role responsibilities

• Support the implementation, embedding and ongoing improvement of DUAL ANZ's Compliance Management Framework, helping strengthen compliance maturity and responsibility throughout the business.
• Support the development and delivery of the Compliance Monitoring Plan, including compliance reviews, monitoring, control testing, remediation and action tracking.
• Prepare clear compliance reporting for senior management, committees, governance forums and the Board.
• Partner with stakeholders across the business to translate compliance requirements and regulatory obligations into practical processes, controls and business practices.
• Manage compliance incidents, breaches and issues, including assessment, escalation, root cause analysis, remediation and action tracking.
• Maintain and support key compliance governance processes, including compliance obligations, audit and assurance activities, conflicts of interest, governance registers, regulatory change, periodic compliance reporting, and other administrative activities such as issuing authorities.
• Oversee DUAL ANZ's financial crime compliance arrangements, including sanctions screening and applicable AML/CTF requirements.
• Develop and improve compliance policies, procedures, processes and supporting guidance.
• Support third-party risk management, audit and assurance activities from a compliance perspective.
• Provide practical advice and guidance to help strengthen compliance awareness, capability and ownership across the business.

We welcome applications from both Sydney and Melbourne!

About you

You are a confident and commercially minded compliance professional who can build trusted relationships, navigate complexity and influence positive outcomes. You enjoy working collaboratively with stakeholders and are comfortable balancing regulatory obligations with practical business needs.

To succeed in this role, you’ll bring:

• Previous compliance experience (3-5 years) within a regulated environment, ideally within insurance, financial services, funds management, trustee, superannuation or a similar environment
• Strong understanding of compliance management frameworks, monitoring and assurance, reporting, incident handling and breach resolution, and regulatory obligations
• Knowledge of relevant regulatory frameworks, including ASIC requirements, financial crime obligations and industry standards.
• Experience preparing compliance reports, governance papers, incident and issue summaries, action plans and recommendations.
• Experience managing or supporting compliance incidents and issues, including investigation, root cause analysis and remediation tracking.
• Strong analytical skills with the ability to identify emerging risks, investigate issues and recommend practical solutions.
• Ability to interpret complex regulatory requirements and translate them into clear business processes and controls.
• Excellent collaboration and communication skills, with the confidence to advise, educate, influence and constructively challenge stakeholders.
• A proactive, organised and solutions‑focused approach with strong attention to detail.
• Ability to operate effectively in a growing business where compliance frameworks, processes, and controls continue to mature and evolve.

What do we offer in return?

A career that you define.

Of course, we offer a competitive range of rewards and benefits to support you - but we know you expect all that.

What you might not expect is a job where everyone has a voice, where volunteering in the community is part of the day job, and where everyone is encouraged to play a part towards our sustainability goals. We want people who want to make a difference - not just in the workplace, but in the industry and in the wider community.

Our culture: people first

Our core values dictate how we live and work. We're a group with independence and people at its heart - and a home for talent with a unique culture: the biggest small company in the world.

Being a people-first business has always been central to who we are. Our vision was to create an independent organization with a distinctive culture that would survive and thrive through the people who shape it. Finding the most talented and entrepreneurial individuals to join the group has been, and will continue to be, key to our success.

Diversity and inclusion

At DUAL, our people are our greatest strength. We are committed to building an open and inclusive culture where everyone feels trusted and that they belong. We work to ensure all candidates, employees, clients and business partners are treated with fairness and respect.

We want every candidate to be able to bring their best to the recruitment process, so if you require reasonable accommodation at any stage, please let us know and we will work with you to provide appropriate support.