Senior Compliance & Risk Leader – Financial Services

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

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.