Head, Regulatory and Compliance

1 week ago

Melbourne, Victoria, Australia GXE Full time

About us:

GXE is the end-to-end platform for Investment Funds, Family Offices and Syndicates.

GXE's mission is to provide digital infrastructure and services for Trustee Services, Custody and Fund Administration.

We provide investors, asset and fund managers with the tools they need to succeed and enable them to focus on their portfolios and investors whilst GXE takes care of everything else.

GXE empowers investors, fund managers and family offices with real-time visibility, efficient workflows, licensing, information security, and more.

A licensed financial services company, GXE holds Australian Financial Services Licence issued by the Australian Securities and Investments Commission. GXE welcomes clients across sectors, including corporate, credit, family offices, pension and superannuation, private equity, property, and venture capital.

We are an early-stage startup, and we offer an opportunity to join the team to help shape GXE's future.

Who we are looking for:

We are seeking a Head, Regulatory and Compliance to join our team.


The Head, Regulatory and Compliance ensures our clients have a great experience and is accountable for delivering regulatory and compliance outcomes for GXE and assigned clients.


This is a "hands-on leadership role" and will lead and be responsible for the regulatory and compliance aspects of GXE's business.

This role will be responsible for identifying and managing risks associated with the delivery of financial services both internally and to our clients.

These responsibilities include the oversight, management and operations of GXE's

risk, compliance and statutory reporting obligations.

The Head of Regulatory and Compliance will also be GXE's lead AML/CTF Compliance Officer and will have the relevant and depth experience to be appointed as an AFSL Responsible Manager on a GXE AFS License.


This position plays a pivotal role in the growth of GXE and will work "at the speed of the client".

You must develop great relationships with our clients, regulatory bodies, service providers and the GXE team to succeed. This will initially be an individual leader role; however, there may be an opportunity to build a small team supported by client demand and revenue growth

You will:

Be a leader and Client advocate:

  • Embody a high-performance culture of execution
  • set clear performance goals and KPIs and measure and monitor progress.
  • Deliver an incredible client experience through a clientled, hightouch, serviceoriented approach.
  • Represent the client within GXE and represent GXE to our clients and service providers.
  • Deliver thought leadership with clients, service providers and in the market.

Deliver the Regulatory and Compliance function:

  • Ensure all Regulatory and Compliance contractual obligations are met.
  • Build and maintain relevant client and service provider relationships, communicating regularly and provide relevant updates.
  • Regular reporting to GXE Leadership on Regulatory and Compliance status, activities and related issues.

Execute the Regulatory and Compliance responsibilities within GXE:

  • Lead GXE's AFSL Program
  • including policies and registers, people approvals, training and professional development, and compliance enforcement and reporting.
  • Own GXE's AML/CTF Program take overall responsibility of GXE's AML/CTF program and ensure GXE always complies with its AML/CTF obligations.
  • Be appointed as GXE's AML/CTF Compliance Officer.
  • Investor Accounts take ownership of the investor onboarding and account opening process (including platform workflow, data quality review, reasonableness checklist, wholesale certificate checks, and account opening approvals).
  • Investor Account Quality Program take ownership of the investor account data quality, including a program to review and inspect investor account data
  • Prepare for external audit, engage with externally appointed auditors and support as required.
  • Own the operational relationships with ASIC, AUSTRAC and other relevant regulatory bodies be the primary operational contact for GXE's dealings with ASIC and AUSTRAC
  • Lead the engagement with relevant and/or nominated service providers.

Execute the Regulatory and Compliance responsibilities for assigned Client contracts:

  • Ensure GXE AFSL CAR's AUSTRAC reporting obligations are being satisfied.
  • Engage with auditors as required, preparing for and supporting audit requests.
  • Identify exceptions and problems affecting the AFSL CAR Program, communicate them to clients/management, and assist in their resolution.

Policies and Processes:

  • Develop and maintain appropriate Regulatory and Compliance policies.
  • Develop and maintain processes to scale the Regulatory and Compliance function efficiently.

Own the Regulatory and Compliance strategy:

  • Be actively involved in defining and refining the Regulatory and Compliance contract deliverables.
  • Be actively involved in product

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