Senior Compliance & Risk Lead: Strategic Impact & Autonomy

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

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.