Support the compliance program to ensure adherence to relevant regulatory registrations and licensing requirements within the securities industry
Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO)
Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC
Conduct enhanced due diligence (EDD) on high-risk customer relationships to ensure regulatory compliance
Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting
Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters
Contribute to the development and delivery of compliance training and awareness initiatives
Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices
Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control
Support the compliance monitoring program by identifying risks and assisting in the implementation of appropriate controls
Monitor regulatory developments and assess their impact on the business and compliance framework
Provide compliance support to product, technology, and front/middle/back office teams to ensure regulatory alignment.
Requirements
Bachelor’s degree in Finance, Law, or a related discipline
Minimum 2+ years’ experience in compliance, preferably within banking, financial services, or fintech
Strong knowledge of regulatory frameworks, particularly ASIC and AUSTRAC requirements
Solid understanding of the role of compliance within a financial services organisation
