Compliance Officer

Newly created Compliance role offering broad exposure in a company in growth mode as an exciting time to join

Your new company
This company are a growing financial services company with offices in Sydney, Melbourne. They offer financial services such as Asset Management, Corporate Advisory and Lending and have made acquisitions for future growth.

Your new role
Working in the Group Compliance team of four and reporting to the Head of Compliance, you will be the new sole Compliance resource focussed on the expanding lending side of the business. This is an excellent opportunity to be an integral part of an expanding, dynamic and fast paced business.

The key responsibilities of this role include:

  • Implement an effective Compliance Framework to support the businesses which operate under entities that hold AFSL(s) and ACL(s).
  • Develop and update Compliance Manuals and Policies, track changes to regulation and train staff.
  • Manage incidents, errors & breaches.
  • Handle client complaints, external audit and regulator enquiries.
  • Provide regulatory advice in respect of new lending platforms/products.
  • Facilitate reporting in respect of the effectiveness of the Compliance Framework to senior management and board/committees.
  • Provide compliance input to other Strategic Projects as and when required.
  • Contribute to development and implementation of broader “Group Wide” Compliance Policies and initiatives.
  • Other compliance duties, advisory and administrative (across both lending and asset management).

What you'll need to succeed
  • Tertiary qualifications in a relevant discipline e.g. Commerce, law, accounting or similar.
  • Regulatory compliance experience including working knowledge of the Corporations Act and the National Credit Code as applicable to Australian Consumer Credit Licences (ACLs) and Australia Financial Services Licensees (AFSL).
  • Excellent communication and interpersonal skills across all levels of the business and a hunger to learn and grow to support the business.
  • Pro-active and positive attitude with an ability to thrive in a fast-paced growth orientated environment.

What you'll get in return
As exciting time to join this business in huge growth phase with an excellent salary and potential bonus for high performers. You will work out of new, state of the art offices with flexibility around hybrid working. The role will offer a broad remit of compliance tasks around lending specific compliance and also group compliance with the future potential to gain exposure into other areas such as Asset Management and Corporate Advisory.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, to If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

LHS 297508 #2668211


Job Type
Banking & Financial Services
NSW, Sydney CBD

Talk to a consultant

Talk to Philip Lewis, the specialist consultant managing this position, located in Sydney
Level 13, Chifley Tower, 2 Chifley Square

Telephone: 0282269752

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