About this role
AML / Compliance Analyst
Dept: Compliance
Reports to: Head of Compliance/MLRO
Experience: 2–3 years
Type: Permanent, full-time
Role
Support AML/KYC onboarding and monitoring; keep records; assist wider compliance (monitoring, Consumer Duty MI, registers, returns).
Key Responsibilities
- CDD/KYC for individuals/entities; assess UBOs, SoF/SoW; SmartSearch a plus.
- Sanctions/PEP/adverse media screening; investigate and escalate to MLRO.
- Risk assessments, EDD, periodic/trigger reviews; maintain files, logs, MI.
- Compliance monitoring: testing, reporting, tracking actions; Consumer Duty MI.
- Employee compliance (PA dealing, gifts, conflicts, OBIs, attestations); maintain registers and SM&CR records.
- Assist regulatory returns/requests; help update policies/procedures/training.
Essential
- 2–3 years AML/KYC/onboarding or compliance in FCA‑regulated (or similar) environment.
- Hands‑on CDD/KYC incl. EDD, SoF/SoW; screening (sanctions/PEP/adverse media).
Desirable
- Experience within an investment firm, stockbroker, corporate broker, wealth manager, asset manager or capital markets business.
- Experience of compliance monitoring or file-review testing.
- Familiarity with the FCA Handbook, including the Principles for Businesses, SYSC, COBS and Consumer Duty requirements.
- Knowledge of the Senior Managers and Certification Regime.
Qualifications
Degree or equivalent preferred; ICA/CISI (or similar) advantageous.
Note: No agencies.
About compliance & regulatory roles for ex-police
Compliance, AML/CTF and regulatory roles. Working to AUSTRAC, ASIC and APRA obligations is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.
See all compliance & regulatory jobs in Sydney →Why this fits a police background — match score 68/100
- Financial crime & fraud
- Investigative casework
- Risk & threat assessment
- Working to legislation & regulation