Compliance Officer (Global Investment & Wealth Management Brand) - 12 Months Contract Convertible to Permanent

About this role

Compliance Officer (Global Investment & Wealth Management Brand) - 12 Months Contract Convertible to Permanent

A great opportunity for a compliance professional to build broad, hands-on experience across regulatory compliance in a fast-moving fintech/securities environment. You'll support day-to-day compliance operations spanning regulatory obligations, fraud investigations, incident management, marketing review, and dispute resolution.

Benefits

• Competitive salary + bonus (Up to AUD 110K + Super + Bonus)
• Group health insurance
• Strong training and development pathway in financial services

What You'll Do

• Support compliance with licensing and regulatory obligations under the AFSL regime
• Keep across relevant financial services legislation and ASIC Regulatory Guides, flagging regulatory developments as they arise
• Assist with fraud/scam investigations — reviewing cases, liaising with stakeholders, maintaining records, and escalating/reporting as needed
• Maintain accurate compliance registers (complaints, incidents, breaches, regulatory matters)
• Contribute to breach and incident management: assessment, investigation, documentation, escalation, and remediation tracking
• Review marketing and business materials against regulatory standards (e.g. RG 234), providing practical feedback to stakeholders
• Handle customer complaints under Internal Dispute Resolution processes and RG 271 — assessment, investigation, written responses, and escalation of complex cases
• Support AFCA disputes: evidence gathering, response drafting, internal coordination, recordkeeping
• Support collection, validation, and reporting of complaints data per ASIC requirements
• Partner with product, tech, operations and front/back-office teams on regulatory alignment
• Assist with internal audits, external reviews, and regulatory inquiries, including remediation follow-up
• Prioritise across competing demands and escalate urgent/sensitive matters promptly

What You'll Bring

• 1–2 years' experience in compliance, risk, or complaints handling (financial services/fintech preferred)
• Working knowledge of the Australian financial services regulatory framework; familiarity with RG 234, RG 271 and AFSL obligations a plus
• Strong written and verbal communication — able to translate complex compliance matters clearly
• Experience with complaints handling and AFCA matters advantageous
• Sharp analytical skills and attention to detail
• Strong prioritisation and time-management, with sound judgement on escalation
• Comfortable operating in a fast-paced, digital-first environment across multiple stakeholder groups

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.