About this role
Our client is a growing investment manager looking to bring additional support to their compliance function working closely with the executive leadership team as the business scales.
Reporting to the Head of Compliance, this is a hands-on role with real ownership across the compliance framework, you'll be close to the detail on the funds and the AFSL, with the scope to shape process rather than just maintain it.
What you'll do
- Own and maintain the compliance framework across the funds and the licence, including the compliance plan/s and associated monitoring
- Manage AFSL obligations, breach reporting, and regulatory change
- Oversee AML/CTF program requirements and ongoing monitoring
- Support product, distribution, and disclosure from a compliance lens
- Partner with the investment and operations teams and act as a key point of contact for auditors and the regulator
What you'll need
- Strong funds management/managed investment scheme compliance experience is the core requirement, you understand responsible entity and AFSL obligations and have run compliance for registered and/or wholesale funds
- Solid grasp of the Corporations Act, ASIC regulatory guides, and AML/CTF obligations
- Comfortable operating autonomously in a lean, fast-moving environment
- Private credit, real estate debt, or fixed income exposure is a plus but not essential
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
- Evidence & case files
- Financial crime & fraud
- Working to legislation & regulation