Senior Compliance Officer

Ord Minnett Limited; Sydney; On-site; AUD 120,000 - 180,000; Full time

Job summary

Ord Minnett Limited in Sydney seeks a Senior Compliance Officer to maintain and enhance the firm's compliance and risk framework, working closely with advisers, business leaders and stakeholders to provide practical regulatory guidance and manage obligations.

This role delivers governance, breach and incident management, regulatory reporting and continuous improvement, offering exposure to senior stakeholders and opportunities to influence strategic compliance across the organisation.

Qualifications

• 8+ years' experience in financial services compliance, including hands-on responsibility for operating within an AFSL compliance environment.
• Strong knowledge of financial services compliance frameworks, AFSL obligations and ASIC regulatory requirements.
• Demonstrated experience in compliance, risk, governance or regulatory roles.
• Practical experience managing breach reporting, incident management and regulatory engagement activities.
• Strong understanding of AML/CTF requirements and AUSTRAC reporting obligations.
• Excellent stakeholder management, communication and relationship-building skills, with the confidence to engage senior advisers and business leaders.
• Strong analytical and problem-solving capability, with the ability to balance regulatory obligations and commercial outcomes.
• Tertiary qualifications in law, finance, commerce, risk or a related discipline.
• Experience within stockbroking, private wealth management, financial advice or Responsible Entities

Responsibilities

• Compliance monitoring, breach and incident management
• Regulatory reporting
• Governance activities
• Provide practical regulatory guidance
• Manage compliance obligations
• Support the organisation in meeting regulatory requirements
• Foster a strong culture of compliance
• Support commercially sound decision-making

Skills

Regulatory compliance

Stakeholder management

Risk assessment

Analysis & problem solving

AML/CTF knowledge

Education

Tertiary qualifications in law, finance, commerce, risk or related discipline

Job description

Reporting to the Head of Compliance, the Senior Compliance Officer plays a key role in maintaining and enhancing Ord Minnett's compliance and risk framework. Working closely with advisers, business leaders and key stakeholders, this position provides practical regulatory guidance, manages compliance obligations and supports the organisation in meeting its regulatory requirements.

The role is responsible for compliance monitoring, breach and incident management, regulatory reporting, governance activities and continuous improvement initiatives. As a trusted adviser to the business, the Senior Compliance Officer helps foster a strong culture of compliance while supporting commercially sound decision-making.

This role offers significant exposure to senior stakeholders and provides an opportunity to contribute to strategic compliance, governance and risk management outcomes across the organisation.

Key responsibilities

• Compliance monitoring, breach and incident management
• Regulatory reporting
• Governance activities
• Provide practical regulatory guidance
• Manage compliance obligations
• Support the organisation in meeting regulatory requirements
• Foster a strong culture of compliance
• Support commercially sound decision-making

About you

• 8+ years' experience in financial services compliance, including hands-on responsibility for operating within an AFSL compliance environment
• Strong knowledge of financial services compliance frameworks, AFSL obligations and ASIC regulatory requirements
• Demonstrated experience in compliance, risk, governance or regulatory roles
• Practical experience managing breach reporting, incident management and regulatory engagement activities
• Strong understanding of AML/CTF requirements and AUSTRAC reporting obligations
• Excellent stakeholder management, communication and relationship-building skills, with the confidence to engage senior advisers and business leaders
• Strong analytical and problem-solving capability, with the ability to balance regulatory obligations and commercial outcomes
• Tertiary qualifications in law, finance, commerce, risk or a related discipline
• Experience within stockbroking, private wealth management, financial advice or Responsible Entities

About us

Ord Minnett offers a unique opportunity to work with a dynamic and reputable firm. Elevate your career where you'll become an integral part of Australia's premier wealth management group.

Join us in shaping the future of the Australian investment landscape and be part of a team that values excellence, cohesiveness, a great work culture, where you'll be an integral part of a team committed to delivering top-tier services.

Ord Minnett does not accept unsolicited resumes from recruitment agencies and search firms. Please do not email or send unsolicited resumes to any Ord Minnett employee, location or address.